Joseph Edwin Rosario

CRD 2742361 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Paramus, NJ

IA RegisteredBroker

Also appears in the source record as: Joe Rosario Sr

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 65Series 63Series 9Series 24Series 10Series 23Series 8SIESeries 3Series 7
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
Paramus, NJ · IA capacity

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

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

Mar 12, 2007 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Mar 12, 2007 → Oct 23, 2009
Citigroup Global Markets Inc.
BD capacity

Feb 2, 2005 → Mar 13, 2007
Citigroup Global Markets Inc.
IA capacity

Feb 2, 2005 → Mar 13, 2007
Morgan Stanley
IA capacity

Jun 5, 2002 → Jan 25, 2005
Morgan Stanley Dw Inc.
BD capacity

Jul 12, 2000 → Jan 25, 2005
Td Waterhouse Investor Services, Inc.
BD capacity

Nov 24, 1997 → Mar 30, 2000
Ids Life Insurance Company
BD capacity

Jul 29, 1997 → Dec 3, 1997
American Express Financial Advisors Inc.
BD capacity

Jul 29, 1997 → Dec 3, 1997
Meyers Pollock Robbins, Inc.
BD capacity

Jan 9, 1997 → Sep 9, 1997
Vtr Capital, Inc.
BD capacity

Sep 27, 1996 → Jan 8, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2742361 ↗ FINRA BrokerCheck record for CRD 2742361 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.