William Joseph Scott

CRD 2277256 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Washington, DC

IA RegisteredBroker

Also appears in the source record as: Bill Scott

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 24SIESeries 3Series 31Series 7
Registered states (23): California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Maine · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Vermont · Virginia · Washington
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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Washington, DC · IA capacity

Jun 11, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Washington, DC · BC capacity

start not retrieved → present
Barclays Capital Inc.
BD capacity

Jan 15, 2010 → Jul 10, 2015
Barclays Capital Inc.
IA capacity

Jan 15, 2010 → Jul 10, 2015
Oppenheimer & Co. Inc.
BD capacity

Mar 20, 2009 → Jan 20, 2010
Oppenheimer & Co. Inc.
IA capacity

Mar 20, 2009 → Jan 20, 2010
Stanford Group Company
BD capacity

Sep 30, 2008 → Mar 10, 2009
Stanford Group Company
IA capacity

Sep 30, 2008 → Mar 10, 2009
Fbr Investment Management, Inc.
IA capacity

Sep 14, 2004 → Oct 24, 2008
Friedman, Billings, Ramsey & Co., Inc.
BD capacity

Sep 5, 2003 → Oct 24, 2008
Morgan Stanley & Co., Incorporated
IA capacity

Oct 25, 2001 → Aug 27, 2003
Morgan Stanley & Co., Incorporated
BD capacity

Mar 20, 2001 → Aug 27, 2003
Friedman, Billings, Ramsey & Co., Inc.
BD capacity

Feb 20, 1998 → Mar 19, 2001
Painewebber Incorporated
BD capacity

May 15, 1995 → Mar 3, 1998
Smith Barney Inc.
BD capacity

Jul 31, 1993 → May 22, 1995
Lehman Brothers Inc.
BD capacity

Oct 11, 1992 → Jul 31, 1993

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2277256 ↗ FINRA BrokerCheck record for CRD 2277256 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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