Jimi Sidhu

CRD 2676870 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Walnut Creek, CA

IA RegisteredBroker

Also appears in the source record as: Harinder S Sidhu; Jimi Singh Sidhu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 7Series 66Series 63
Registered states (1): California
Years in the industry (source record): 19
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2676870 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
Walnut Creek, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Walnut Creek, CA · BC capacity

start not retrieved → present
Southridge Investment Group LLC
Ridgefield, CT · BC capacity

Aug 11, 2011 → Sep 2, 2011
Advisors Asset Management, Inc.
Dublin, CA · IA capacity

Apr 14, 2009 → Aug 14, 2009
Advisors Asset Management, Inc.
Monument, CO · BC capacity

Jun 3, 2008 → Aug 14, 2009
Investors Capital Corp.
Pleasanton, CA · BC capacity

Jul 30, 2007 → May 30, 2008
Brookstreet Securities Corporation
Dublin, CA · BC capacity

May 8, 2007 → Jul 23, 2007
Linsco/Private Ledger Corp.
Fort Mill, SC · BC capacity

Feb 24, 2006 → May 10, 2007
Wm Financial Services, Inc.
Irvine, CA · BC capacity

May 1, 1998 → Sep 27, 2005
Great Western Financial Securities Corporation
Northridge, CA · BC capacity

Mar 20, 1997 → May 1, 1998
J.B. Oxford & Company
Sherman Oaks, CA · BC capacity

Sep 30, 1996 → Oct 8, 1996
Baraban Securities, Inc.
Los Angeles, CA · BC capacity

Aug 8, 1996 → Sep 30, 1996

Source & corrections

Where this page comes from

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