Ruby Ochoa

CRD 2428076 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Princeton, NJ

Broker

Also appears in the source record as: Ruby Maldonado

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (3): Series 7TOSIESeries 6
Registered states: Not yet retrieved from the source record
Years in the industry (source record): 28
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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Princeton, NJ · BC capacity

start not retrieved → present
Northwestern Mutual Investment Services, LLC
Princeton, NJ · BC capacity

Dec 8, 2003 → Oct 1, 2007
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

May 12, 1998 → Oct 22, 2002
Adp Broker-Dealer, Inc.
Roseland, NJ · BC capacity

Aug 29, 1995 → Mar 13, 1997
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Mar 14, 1994 → Mar 30, 1995
Equico Securities, Inc.
New York, NY · BC capacity

Mar 14, 1994 → Mar 30, 1995

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2428076 ↗ FINRA BrokerCheck record for CRD 2428076 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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