Michael Adam Greenberg

CRD 2694907 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Scottsdale, AZ

IA RegisteredBroker

Also appears in the source record as: Michael Greenberg; Mike Greenberg

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 9Series 24SIESeries 7Series 6
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): 30
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Scottsdale, AZ · IA capacity

May 8, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Scottsdale, AZ · BC capacity

start not retrieved → present
Ameriprise Financial Services, Inc.
IA capacity

Jan 7, 2014 → Mar 4, 2019
Ameriprise Financial Services, Inc.
BD capacity

Jun 29, 2012 → Mar 4, 2019
Midamerica Financial Services, Inc.
BD capacity

Apr 27, 2012 → Jun 22, 2012
Columbia Management Investment Distributors, Inc.
BD capacity

Jan 2, 2009 → May 20, 2010
Riversource Investments
IA capacity

Nov 11, 2008 → May 20, 2010
Riversource Distributors, Inc.
BD capacity

May 8, 2008 → Jan 2, 2009
Ubs Financial Services Inc.
IA capacity

Aug 2, 2006 → May 14, 2008
Ubs Financial Services Inc.
BD capacity

Jul 24, 2006 → May 14, 2008
American Skandia Marketing, Inc.
BD capacity

Nov 20, 2003 → Nov 10, 2005
Psco International Distributors Ltd. LLC
BD capacity

Mar 3, 2000 → Nov 18, 2003
The Managers Funds LLC
BD capacity

Feb 9, 1996 → Feb 23, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2694907 ↗ FINRA BrokerCheck record for CRD 2694907 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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