Anay Kumar Srivastava

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (4)

SIESeries 7Series 66Series 63

Registered states (7)

Arkansas · Florida · Massachusetts · Michigan · New Mexico · North Carolina · Texas

Years in the industry (source record)

22

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (20)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Houston, TX · IA capacity
  start not retrieved → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Houston, TX · BC capacity
  start not retrieved → present
• J.P. Morgan Securities LLC

  Houston, TX · IA capacity
  Sep 13, 2019 → Apr 25, 2023
• J.P. Morgan Securities LLC

  Houston, TX · BC capacity
  Sep 12, 2019 → Apr 25, 2023
• Wells Fargo Clearing Services, LLC

  Houston, TX · IA capacity
  Aug 10, 2016 → Jul 11, 2019
• Wells Fargo Clearing Services, LLC

  Houston, TX · BC capacity
  Aug 10, 2016 → Jul 11, 2019
• Investment Professionals, Inc.

  San Antonio, TX · IA capacity
  Jun 3, 2013 → Dec 6, 2013
• Investment Professionals, Inc.

  San Antonio, TX · BC capacity
  Jun 3, 2013 → Dec 6, 2013
• Braymen Lambert And Noel Investment Management

  Irving, TX · IA capacity
  Dec 6, 2012 → Jun 4, 2013
• Braymen, Lambert And Noel Securities, Ltd.

  Irving, TX · BC capacity
  Dec 6, 2012 → Jun 4, 2013
• Southwest Securities, Inc.

  Dallas, TX · IA capacity
  Feb 6, 2012 → Jun 29, 2012
• Southwest Securities, Inc.

  Dallas, TX · BC capacity
  Nov 18, 2011 → Jun 29, 2012
• Comerica Securities

  Dallas, TX · IA capacity
  May 12, 2010 → Nov 14, 2011
• Comerica Securities

  Dallas, TX · BC capacity
  May 4, 2010 → Nov 14, 2011
• Metlife Securities Inc.

  Houston, TX · BC capacity
  Oct 10, 2005 → May 17, 2010
• Metropolitan Life Insurance Company

  Houston, TX · BC capacity
  Oct 10, 2005 → Jul 9, 2007
• Ubs Financial Services Inc.

  Sugarland, TX · IA capacity
  Jan 2, 2003 → May 10, 2004
• Ubs Financial Services Inc.

  Weehawken, NJ · BC capacity
  Dec 6, 2002 → May 10, 2004
• Alex. Brown & Sons Incorporated

  BC capacity
  May 12, 1994 → May 5, 1995
• Government Securities Corporation

  BC capacity
  Oct 8, 1993 → Mar 22, 1994

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.