Michael John Tortora

CRD 2338870 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Paramus, NJ

IA RegisteredBroker

Also appears in the source record as: Mike Tortora

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 10Series 9Series 66Series 63
Registered states (4): Florida · New Jersey · New York · North Carolina
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2338870 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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Paramus, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Paramus, NJ · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
Glen Rock, NJ · IA capacity

Jul 14, 2005 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Glen Rock, NJ · BC capacity

Oct 20, 2004 → Oct 23, 2009
Quick & Reilly, Inc.
New York, NY · BC capacity

Feb 27, 2002 → Oct 20, 2004
Fidelity Brokerage Services LLC
Smithfield, RI · BC capacity

Jun 13, 1995 → Feb 22, 2002
John Hancock Mutual Life Insurance Company
Boston, MA · BC capacity

May 26, 1993 → Jun 24, 1994
John Hancock Distributors, Inc.
Boston, MA · BC capacity

May 26, 1993 → Jun 24, 1994
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Apr 29, 1993 → May 11, 1993
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

Apr 29, 1993 → May 11, 1993

Source & corrections

Where this page comes from

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