Michael Frederick Ginestro

CRD 2468911 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Mike Ginestro; Michael Ginestro

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 7TOSIESeries 7
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · 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 2468911 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · IA capacity

Oct 7, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Mml Investors Services, LLC
IA capacity

May 15, 2020 → Sep 24, 2020
Mml Investors Services, LLC
BD capacity

Feb 3, 2020 → Sep 24, 2020
Charles Schwab & Co., Inc.
BD capacity

Mar 11, 2004 → Sep 12, 2008
Uboc Investment Services, Inc.
BD capacity

Oct 1, 1999 → Jan 21, 2004
Dean Witter Reynolds Inc.
BD capacity

Jul 29, 1997 → Oct 15, 1999
Oppenheimer & Co., Inc.
BD capacity

Aug 8, 1994 → Oct 12, 1995

Source & corrections

Where this page comes from

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