Raphael Derek Hochberg

CRD 2392499 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pennington, NJ

IA RegisteredBroker

Also appears in the source record as: Derek Hochberg; R Derek Hochberg; Raphael D. Hochberg

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 57TOSIESeries 55Series 7Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 31
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2392499 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 (11)

From the source registration record · current first

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

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

start not retrieved → present
Icap Corporates LLC
Edison, NJ · BC capacity

Nov 12, 2021 → Apr 7, 2022
Maxim Group LLC
New York, NY · BC capacity

Mar 6, 2017 → May 11, 2021
The Vertical Group
Red Bank, NJ · BC capacity

Jan 8, 2013 → Mar 21, 2017
Saratoga Capital Markets
New York, NY · BC capacity

Sep 10, 2009 → Dec 21, 2012
Jnk Securities Corp.
New York, NY · BC capacity

Dec 19, 2001 → Aug 28, 2009
Abel/Noser Corp.
New York, NY · BC capacity

Feb 29, 2000 → Oct 8, 2001
On-Site Trading, Inc.
Great Neck, NY · BC capacity

Dec 10, 1998 → Nov 1, 1999
Tucker Anthony Incorporated
Boston, MA · BC capacity

Sep 15, 1997 → Oct 30, 1998
Smith Barney Inc.
New York, NY · BC capacity

Sep 10, 1993 → Sep 19, 1997

Source & corrections

Where this page comes from

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