Maria Victoria Caicedo

CRD 2523471 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Maria V Caicedo; Maria Victoria Caicedo Montes De Oca

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 (19): California · Colorado · Delaware · Florida · Georgia · Hawaii · Illinois · Maryland · Nevada · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · South Dakota · Texas · Utah · Virginia
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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · IA capacity

Apr 30, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Ubs International Inc.
BD capacity

Apr 7, 2003 → May 21, 2009
Ubs International Inc.
IA capacity

Mar 26, 2003 → May 21, 2009
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Oct 25, 1994 → Dec 19, 2002
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 11, 1994 → Dec 19, 2002

Source & corrections

Where this page comes from

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