John A Bakewell

CRD 2280667 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: John A Bakewell IV; John Albert Bakewell IV; John Bakewell

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (15): Alabama · Arkansas · California · Colorado · Florida · Georgia · Indiana · Kansas · North Carolina · Oklahoma · South Carolina · Tennessee · Texas · Utah · Virginia
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 2280667 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 (9)

From the source registration record · current first

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

Nov 30, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dallas, TX · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
BD capacity

Mar 13, 2006 → Dec 8, 2017
Wells Fargo Clearing Services, LLC
IA capacity

Mar 10, 2006 → Dec 8, 2017
Ubs Financial Services Inc.
BD capacity

Jul 16, 1999 → Mar 17, 2006
Ubs Financial Services Inc.
IA capacity

Jul 16, 1999 → Mar 17, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Feb 27, 1996 → Jul 22, 1999
Smith Barney Inc.
BD capacity

Feb 22, 1995 → Mar 5, 1996
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Feb 16, 1993 → Aug 19, 1994

Source & corrections

Where this page comes from

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