Carlos A Escobar

CRD 2240225 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pasadena, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 99TOSeries 52TOSIESeries 7Series 53Series 4Series 27Series 24Series 65Series 63
Registered states (13): Arizona · California · Colorado · Florida · Georgia · Hawaii · Illinois · Maryland · Minnesota · Nevada · New York · Texas · Washington
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2240225 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pasadena, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pasadena, CA · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
City Of Commerce, CA · BC capacity

Jul 12, 1999 → Oct 23, 2009
Banc Of America Investment Services, Inc.
City Of Commerce, CA · IA capacity

May 12, 1998 → Oct 23, 2009
Ba Investment Services, Inc.
Oakland, CA · BC capacity

Oct 12, 1994 → Jul 12, 1999
Sepulveda & Smith Securities, Inc.
Long Beach, CA · BC capacity

Feb 3, 1994 → Oct 14, 1994
Smith Barney Shearson Inc.
New York, NY · BC capacity

Jul 31, 1993 → Dec 20, 1993
Lehman Brothers Inc.
New York, NY · BC capacity

Apr 15, 1993 → Jul 31, 1993

Source & corrections

Where this page comes from

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