Michael J Difiore

CRD 2415940 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pennington, NJ

IA RegisteredBroker

Also appears in the source record as: Michael John Difiore; Mike Difiore

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 10Series 9Series 24Series 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

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 (10)

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
Chase Investment Services Corp.
Manasquan, NJ · BC capacity

Jul 6, 2009 → Nov 16, 2010
Banc Of America Investment Services, Inc.
Ship Bottom, NJ · BC capacity

Oct 20, 2004 → Apr 28, 2009
Quick & Reilly, Inc.
New York, NY · BC capacity

Oct 24, 2003 → Oct 20, 2004
Futureshare Financial LLC
Jersey City, NJ · BC capacity

Sep 7, 2001 → Sep 25, 2003
Conseco Securities, Inc.
Carmel, IN · BC capacity

Sep 21, 1995 → Jun 18, 2002
Firstar Investment Services,inc.
Morris Plains, NJ · BC capacity

Jun 12, 2000 → Nov 30, 2001
Ryan, Beck & Co.
Florham Park, NJ · BC capacity

Mar 3, 1994 → Sep 18, 1995
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

Nov 29, 1993 → Feb 25, 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.

SEC IAPD record for CRD 2415940 ↗ FINRA BrokerCheck record for CRD 2415940 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.