Shane J Mahieu

CRD 2648754 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Latham, NY

IA RegisteredBroker

Also appears in the source record as: Shane Julien Mahieu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 9Series 10SIESeries 7
Registered states (14): Alabama · Colorado · Florida · Georgia · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Texas · Virginia
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 2648754 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 (11)

From the source registration record · current first

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

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Latham, NY · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Sep 29, 2006 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Sep 29, 2006 → Oct 23, 2009
Hsbc Securities (USA) Inc.
IA capacity

Jul 10, 2006 → Oct 31, 2006
Hsbc Securities (USA) Inc.
BD capacity

Jan 1, 2005 → Oct 31, 2006
Hsbc Brokerage (USA) Inc.
BD capacity

Jun 24, 2004 → Jan 1, 2005
Goldman, Sachs & Co.
BD capacity

Sep 22, 2003 → Jun 23, 2004
Mercer Allied Company, L.P.
BD capacity

Mar 1, 2002 → Dec 11, 2003
Prudential Securities Incorporated
BD capacity

Jul 9, 1999 → Feb 19, 2002
Painewebber Incorporated
BD capacity

Nov 24, 1995 → Jul 27, 1999

Source & corrections

Where this page comes from

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