Russell Caldwell Smith

CRD 2258958 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Beaumont, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 7TOSIESeries 3Series 7
Registered states (34): Alabama · Arizona · Arkansas · California · Colorado · Florida · Georgia · Idaho · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Michigan · Mississippi · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Beaumont, TX · IA capacity

Nov 8, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Beaumont, TX · BC capacity

start not retrieved → present
March Capital Corp.
IA capacity

Mar 2, 2021 → Oct 26, 2021
March Capital Corp.
BD capacity

Jan 30, 2021 → Oct 26, 2021
Eaton Vance Management
IA capacity

Jul 20, 2015 → Jan 25, 2019
Eaton Vance Distributors, Inc.
BD capacity

Apr 21, 2015 → Jan 25, 2019
March Capital Corp.
BD capacity

Jul 31, 2012 → Apr 8, 2015
Man Investments Inc.
BD capacity

Mar 31, 2004 → Jul 14, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jun 19, 1997 → Nov 5, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 10, 1992 → Oct 29, 1996

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2258958 ↗ FINRA BrokerCheck record for CRD 2258958 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.