Paul Spencer Checketts

CRD 2774744 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 66
Registered states (15): Arizona · California · District Of Columbia · Florida · Georgia · Idaho · Illinois · Massachusetts · Nevada · North Carolina · Pennsylvania · South Dakota · Texas · Virginia · Wyoming
Years in the industry (source record): 26
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
Los Angeles, CA · IA capacity

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

start not retrieved → present
J.P. Morgan Securities LLC
Los Angeles, CA · BC capacity

Feb 25, 2010 → Sep 6, 2017
J.P. Morgan Securities LLC
Los Angeles, CA · IA capacity

Feb 25, 2010 → May 15, 2012
Capwest Securities, Inc.
Greeley, CO · BC capacity

Aug 18, 2009 → Jan 22, 2010
Capwest Securities, Inc.
Los Angeles, CA · IA capacity

Aug 12, 2009 → Jan 22, 2010
Deutsche Bank Securities Inc.
Los Angeles, CA · IA capacity

Apr 17, 2007 → Sep 19, 2007
Deutsche Bank Securities Inc.
Los Angeles, CA · BC capacity

Apr 17, 2007 → Sep 19, 2007
Northern Trust Securities, Inc.
Los Angeles, CA · BC capacity

Sep 9, 2005 → Mar 26, 2007
Credit Suisse First Boston
Los Angeles, CA · IA capacity

Jan 17, 2003 → Jun 17, 2005
Credit Suisse First Boston LLC
New York, NY · BC capacity

Jan 17, 2003 → Jun 17, 2005
Donaldson Lufkin & Jenrette Securities Corporation
Los Angeles, CA · IA capacity

Aug 8, 2002 → Jan 17, 2003
Donaldson, Lufkin & Jenrette Securities Corporation
Jersey City, NJ · BC capacity

Sep 9, 1997 → Jan 17, 2003

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2774744 ↗ FINRA BrokerCheck record for CRD 2774744 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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.