Donald L Smith

CRD 2242509 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Don Smith; Donald Louis Smith

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 52TOSIESeries 7Series 6Series 10Series 53Series 24Series 26Series 63Series 65
Registered states (1): Georgia
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 2242509 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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Alpharetta, GA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Prudential Financial Planning Services
Atlanta, GA · IA capacity

Jul 1, 2011 → Apr 14, 2014
Pruco Securities, LLC.
Atlanta, GA · BC capacity

Nov 5, 2010 → Apr 14, 2014
Axa Advisors, LLC
Atlanta, GA · IA capacity

Dec 8, 2008 → Oct 19, 2010
Axa Advisors, LLC
Atlanta, GA · BC capacity

Dec 8, 2008 → Oct 19, 2010
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

May 29, 1992 → Jan 5, 2000

Source & corrections

Where this page comes from

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