Susan Matos

CRD 2748411 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Matos Susan Marte; Susan M. Marte; Susan Marte Matos Mrs

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (14): California · District Of Columbia · Florida · Georgia · Indiana · Maine · Maryland · Massachusetts · New York · North Carolina · Puerto Rico · Texas · Virginia · Washington
Years in the industry (source record): 28
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Miami, FL · IA capacity

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

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

Oct 29, 2008 → Oct 23, 2009
Banc Of America Investment Services, Inc.
BD capacity

Oct 24, 2008 → Oct 23, 2009
Ubs Financial Services Inc.
IA capacity

Sep 19, 2006 → Oct 31, 2008
Ubs Financial Services Inc.
BD capacity

Jun 20, 2006 → Oct 31, 2008
Citicorp Investment Services
BD capacity

Feb 7, 2006 → Mar 28, 2006
Goldman, Sachs & Co.
BD capacity

Dec 14, 1999 → Dec 12, 2005
Prudential Securities Incorporated
BD capacity

May 28, 1998 → Sep 28, 1999

Source & corrections

Where this page comes from

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