William Evans

CRD 2334827 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Bill Evans; William M. Evans Jr.; William Michael Evans

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 66Series 63SIESeries 7Series 3Series 6
Registered states (10): California · Colorado · Connecticut · Florida · Illinois · Indiana · Michigan · New York · Texas · Wisconsin
Years in the industry (source record): 33
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · IA capacity

Dec 3, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
BD capacity

Jul 1, 2013 → Aug 30, 2019
Sanford C. Bernstein & Co., LLC
BD capacity

Nov 30, 2010 → Jul 1, 2013
Alliancebernstein L.P.
IA capacity

Nov 30, 2010 → Jul 1, 2013
Morgan Stanley & Co., Incorporated
BD capacity

Apr 2, 2007 → Mar 13, 2008
Morgan Stanley Dw Inc.
BD capacity

Jun 4, 2002 → Apr 2, 2007
Morgan Stanley
IA capacity

Dec 3, 2002 → Feb 28, 2005
Goldman, Sachs & Co.
BD capacity

Apr 24, 1996 → Apr 2, 2002
Northwestern Mutual Investment Services, Inc.
BD capacity

May 17, 1993 → Apr 18, 1996
Robert W. Baird & Co. Incorporated
BD capacity

May 17, 1993 → Apr 15, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2334827 ↗ FINRA BrokerCheck record for CRD 2334827 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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