John Emery Smyth

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

Series 66Series 63SIESeries 7Series 31Series 3

Registered states (53)

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 · Virgin Islands · 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

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 (11)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Palm Beach Gardens, FL · IA capacity
  Apr 19, 2024 → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Palm Beach Gardens, FL · BC capacity
  start not retrieved → present
• J.P. Morgan Private Wealth Advisors LLC

  IA capacity
  Jan 17, 2020 → Apr 22, 2024
• J.P. Morgan Securities LLC

  IA capacity
  Mar 26, 2024 → Apr 20, 2024
• J.P. Morgan Securities LLC

  BD capacity
  Sep 29, 2023 → Apr 20, 2024
• First Republic Securities Company, LLC

  BD capacity
  Jan 15, 2020 → Sep 29, 2023
• J.P. Morgan Securities LLC

  IA capacity
  Mar 2, 2010 → Jan 17, 2020
• J.P. Morgan Securities LLC

  BD capacity
  Feb 23, 2010 → Jan 17, 2020
• Morgan Stanley Dw Inc.

  BD capacity
  Jan 11, 2002 → Nov 13, 2006
• Painewebber Incorporated

  BD capacity
  Jan 28, 1995 → Nov 5, 1996
• Kidder, Peabody & Co. Incorporated

  BD capacity
  Aug 4, 1994 → Jan 28, 1995

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.