Roger M Wallach

CRD 2460445 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Vienna, VA

IA RegisteredBroker

Also appears in the source record as: Roger Mason Wallach; Roger Wallach

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 3Series 7
Registered states (25): California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Kentucky · Maine · Maryland · Massachusetts · Michigan · Missouri · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Texas · Virginia · Washington · West Virginia · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2460445 contains one or more disclosure events as of Aug 20, 2026.

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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 (18)

From the source registration record · current first

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

Oct 21, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Vienna, VA · BC capacity

start not retrieved → present
Truist Advisory Services, Inc.
IA capacity

Sep 21, 2016 → Oct 21, 2022
Truist Investment Services, Inc.
BD capacity

May 30, 2014 → Oct 21, 2022
Suntrust Investment Services, Inc.
IA capacity

May 30, 2014 → Dec 31, 2016
Morgan Stanley
BD capacity

Jun 1, 2009 → Jun 2, 2014
Morgan Stanley
IA capacity

Jun 1, 2009 → Jun 2, 2014
Citigroup Global Markets Inc.
IA capacity

Feb 21, 2006 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Feb 17, 2006 → Jun 1, 2009
Wachovia Securities, LLC
IA capacity

Aug 3, 2004 → Feb 23, 2006
Wachovia Securities, LLC
BD capacity

Jul 22, 2004 → Feb 23, 2006
Ubs Financial Services Inc.
IA capacity

Aug 10, 2001 → Jul 23, 2004
Ubs Financial Services Inc.
BD capacity

Apr 20, 2001 → Jul 23, 2004
Donaldson, Lufkin & Jenrette Securities Corporation
BD capacity

Dec 6, 2000 → Apr 24, 2001
Credit Suisse First Boston Corporation
BD capacity

Feb 24, 2000 → Feb 26, 2001
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 19, 1998 → Mar 1, 2000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 11, 1994 → Jul 24, 1998
Td Securities (USA) Inc.
BD capacity

Apr 10, 1998 → May 18, 1998

Source & corrections

Where this page comes from

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