Jon M Busse

CRD 2417062 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Memphis, TN

IA RegisteredBroker

Also appears in the source record as: Jon Michael Busse; Jon Busse

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 7TOSIESeries 7Series 66Series 65Series 63
Registered states (35): Alabama · Arizona · Arkansas · California · Colorado · Delaware · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kansas · Louisiana · Maryland · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 11
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Memphis, TN · IA capacity

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

start not retrieved → present
Sound Income Strategies, LLC
Cordova, TN · IA capacity

Sep 30, 2022 → Apr 14, 2023
Edward Jones
Germantown, TN · IA capacity

Nov 20, 2020 → Aug 31, 2022
Edward Jones
Germantown, TN · BC capacity

Nov 20, 2020 → Aug 31, 2022
Wells Fargo Clearing Services, LLC
Memphis, TN · IA capacity

Feb 12, 2019 → Nov 10, 2020
Wells Fargo Clearing Services, LLC
Memphis, TN · BC capacity

Jan 17, 2019 → Nov 10, 2020
First Security Investments, Inc.
Kingston, PA · BC capacity

Jan 3, 2002 → Apr 1, 2003
The Lincoln National Life Insurance Company
Fort Wayne, IN · BC capacity

Jul 27, 2000 → Oct 18, 2001
Lincoln Financial Advisors Corporation
Fort Wayne, IN · BC capacity

Jul 27, 2000 → Oct 18, 2001
Prudential Securities Incorporated
New York, NY · BC capacity

Oct 20, 1998 → Jul 19, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2417062 ↗ FINRA BrokerCheck record for CRD 2417062 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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