Cindy Gail Schwartz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (4)

Series 66Series 63SIESeries 7

Registered states (28)

Alabama · Arizona · California · Colorado · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Kansas · Maryland · Massachusetts · Minnesota · Missouri · Montana · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · South Dakota · Texas · Vermont · Virginia

Years in the industry (source record)

29

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (22)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Boca Raton, FL · IA capacity
  Nov 30, 2023 → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Boca Raton, FL · BC capacity
  start not retrieved → present
• Raymond James & Associates, Inc.

  IA capacity
  May 3, 2021 → Dec 4, 2023
• Raymond James & Associates, Inc.

  BD capacity
  Apr 30, 2021 → Dec 4, 2023
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  Nov 28, 2016 → Apr 13, 2021
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Nov 25, 2016 → Apr 13, 2021
• Morgan Stanley

  BD capacity
  Sep 1, 2016 → Nov 7, 2016
• Morgan Stanley

  IA capacity
  Sep 1, 2016 → Nov 7, 2016
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  Sep 26, 2013 → Sep 2, 2016
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Sep 25, 2013 → Sep 2, 2016
• Stifel, Nicolaus & Company, Incorporated

  IA capacity
  May 18, 2011 → Sep 12, 2013
• Stifel, Nicolaus & Company, Incorporated

  BD capacity
  May 17, 2011 → Sep 12, 2013
• National Securities Corporation

  BD capacity
  Mar 19, 2010 → May 7, 2011
• Morgan Stanley Smith Barney

  BD capacity
  Jun 1, 2009 → Aug 18, 2009
• Morgan Stanley Smith Barney LLC

  IA capacity
  Jun 1, 2009 → Aug 18, 2009
• Morgan Stanley & Co. Incorporated

  IA capacity
  Jan 28, 2009 → Jun 1, 2009
• Morgan Stanley & Co. Incorporated

  BD capacity
  Jan 23, 2009 → Jun 1, 2009
• Citigroup Global Markets Inc.

  IA capacity
  Oct 2, 2008 → Jan 21, 2009
• Citigroup Global Markets Inc.

  BD capacity
  Sep 29, 2008 → Jan 21, 2009
• Ubs Financial Services Inc.

  IA capacity
  Apr 10, 2006 → Apr 14, 2008
• Ubs Financial Services Inc.

  BD capacity
  Sep 11, 2002 → Apr 14, 2008
• Briarcliff Capital Corp.

  BD capacity
  Oct 30, 1997 → Aug 30, 2002

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.

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