Paul Anthony Modafferi

CRD 2762691 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Sparta, NJ

IA RegisteredBroker

Also appears in the source record as: Paul F Biamonte; Paul A Modafferi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (10): Florida · Maryland · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Texas · Virginia
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2762691 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
Sparta, NJ · IA capacity

Nov 25, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sparta, NJ · BC capacity

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

Jun 22, 2018 → Mar 26, 2019
Ameriprise Financial Services, Inc.
IA capacity

Jun 22, 2018 → Mar 26, 2019
Investment Professionals, Inc.
BD capacity

Jun 7, 2016 → Sep 24, 2018
Investment Professionals, Inc.
IA capacity

Jun 7, 2016 → Sep 24, 2018
Sorrento Pacific Financial, LLC
IA capacity

Jul 15, 2008 → Jun 2, 2016
Sorrento Pacific Financial, LLC
BD capacity

Jun 12, 2008 → Jun 2, 2016
Citigroup Global Markets Inc.
BD capacity

Dec 3, 2004 → Dec 6, 2007
Citigroup Global Markets Inc.
IA capacity

Dec 3, 2004 → Sep 26, 2005
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Nov 5, 1999 → Dec 7, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 20, 1996 → Dec 7, 2004

Source & corrections

Where this page comes from

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