Richard Alan Haskin

CRD 2572641 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Washington, DC

IA RegisteredBroker

Also appears in the source record as: Richard Haskin

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 31Series 7Series 65Series 63
Registered states (35): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 31
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2572641 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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Washington, DC · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Washington, DC · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Bethesda, MD · IA capacity

Aug 5, 2011 → Jul 31, 2025
Ubs Financial Services Inc.
Bethesda, MD · BC capacity

Aug 5, 2011 → Jul 31, 2025
Morgan Stanley Smith Barney LLC
Bethesda, MD · IA capacity

Jun 1, 2009 → Aug 23, 2011
Morgan Stanley Smith Barney
Bethesda, MD · BC capacity

Jun 1, 2009 → Aug 23, 2011
Citigroup Global Markets Inc.
Bethesda, MD · IA capacity

Sep 17, 2004 → Jun 1, 2009
Citigroup Global Markets Inc.
Bethesda, MD · BC capacity

Sep 17, 2004 → Jun 1, 2009
Morgan Stanley
Bethesda, MD · IA capacity

Apr 24, 2000 → Sep 22, 2004
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Mar 29, 2000 → Sep 22, 2004
A. G. Edwards & Sons, Inc.
St. Louis, MO · BC capacity

Mar 29, 1995 → Mar 30, 2000
Polaris Financial Services, Inc.
Concord, NH · BC capacity

Feb 24, 1995 → Mar 31, 1995

Source & corrections

Where this page comes from

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