Jeffrey D Fontes

CRD 2398315 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Providence, RI

IA RegisteredBroker

Also appears in the source record as: Jeffrey Daniel Fontes

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 31Series 7Series 6
Registered states (23): Arizona · California · Connecticut · Delaware · Florida · Illinois · Indiana · Maine · Maryland · Massachusetts · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Wisconsin
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 2398315 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
Providence, RI · IA capacity

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Providence, RI · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Dec 3, 2004 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Dec 3, 2004 → Oct 23, 2009
Ifmg Securities, Inc.
IA capacity

Oct 28, 2004 → Dec 10, 2004
Ifmg Securities, Inc.
BD capacity

Oct 22, 2004 → Dec 10, 2004
Invest Financial Corporation
IA capacity

Apr 29, 2003 → Oct 26, 2004
Invest Financial Corporation
BD capacity

Nov 22, 2002 → Oct 26, 2004
Morgan Stanley
IA capacity

Jan 17, 1997 → Dec 2, 2002
Morgan Stanley Dw Inc.
BD capacity

Jul 26, 1995 → Dec 2, 2002
Mml Investors Services, Inc.
BD capacity

Oct 11, 1993 → Dec 1, 1994

Source & corrections

Where this page comes from

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