Michael J Keating

CRD 2428782 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Williamsburg, VA

IA RegisteredBroker

Also appears in the source record as: Michael James Keating

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 57TOSIESeries 55Series 7Series 24Series 66Series 63
Registered states (16): Arizona · California · Colorado · Connecticut · Florida · Illinois · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Tennessee · Texas · Virginia · Washington · West Virginia
Years in the industry (source record): 32
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Williamsburg, VA · IA capacity

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

start not retrieved → present
Delaney Equity Group LLC
West Palm Beach, FL · BC capacity

May 20, 2009 → Feb 21, 2014
Andrews Securities, LLC
Williamsburg, VA · BC capacity

Jul 11, 2000 → May 11, 2009
Financial Network Investment Corporation
El Segundo, CA · BC capacity

Aug 20, 1997 → Jun 13, 2000
Westport Resources Investment Services, Inc.
Ft. Worth, TX · BC capacity

Jun 13, 1994 → Aug 27, 1997
Olde Discount Corporation
Detroit, MI · BC capacity

May 5, 1994 → May 26, 1994
Summit Investment Corporation
Minneapolis, MN · BC capacity

Dec 2, 1993 → Apr 22, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2428782 ↗ FINRA BrokerCheck record for CRD 2428782 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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