Rodney David Williams

CRD 2421354 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 6Series 53Series 24Series 66Series 65Series 63
Registered states (14): Arkansas · California · Colorado · Florida · Louisiana · Michigan · Minnesota · Mississippi · New Mexico · New York · Oklahoma · Texas · Washington · Wyoming
Years in the industry (source record): 29
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 (13)

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
Wells Fargo Clearing Services, LLC
Houston, TX · IA capacity

Mar 15, 2013 → Aug 4, 2022
Wells Fargo Clearing Services, LLC
Houston, TX · BC capacity

Mar 15, 2013 → Aug 4, 2022
J.P. Morgan Securities LLC
Houston, TX · IA capacity

Oct 1, 2012 → Mar 19, 2013
J.P. Morgan Securities LLC
Houston, TX · BC capacity

Oct 1, 2012 → Mar 19, 2013
Chase Investment Services Corp.
Houston, TX · IA capacity

May 11, 2005 → Oct 1, 2012
Chase Investment Services Corp.
Houston, TX · BC capacity

Oct 28, 2003 → Oct 1, 2012
Lincoln Financial Distributors, Inc.
Radnor, PA · BC capacity

Apr 24, 2001 → Jul 22, 2003
Transamerica Financial Advisors, Inc.
Los Angeles, CA · BC capacity

Oct 12, 2000 → Mar 14, 2001
Walnut Street Securities, Inc.
El Segundo, CA · BC capacity

Apr 29, 1996 → Dec 1, 1998
Pruco Securities Corporation
Newark, NJ · BC capacity

Nov 29, 1994 → Feb 21, 1996
Hart Securities, Inc.
Houston, TX · BC capacity

Nov 4, 1993 → Jul 27, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2421354 ↗ FINRA BrokerCheck record for CRD 2421354 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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