Michael James Dolan

CRD 2463234 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Poughkeepsie, NY

IA RegisteredBroker

Also appears in the source record as: Mike Dolan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (28): Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Kentucky · Maine · Maryland · Massachusetts · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia · Wyoming
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 (4)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Poughkeepsie, NY · IA capacity

Jan 28, 1999 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Poughkeepsie, NY · BC capacity

start not retrieved → present
Merrill Lynch Professional Clearing Corp.
BD capacity

Dec 20, 2010 → Dec 21, 2010
Smith Barney Inc.
BD capacity

Apr 7, 1994 → Sep 16, 1997

Source & corrections

Where this page comes from

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