David James Bloom

CRD 2800186 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Media, PA

IA RegisteredBroker

Also appears in the source record as: David Bloom

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 65Series 10Series 9SIESeries 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Media, PA · IA capacity

May 24, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Media, PA · BC capacity

start not retrieved → present
M&t Securities, Inc.
IA capacity

Jan 15, 2019 → Jun 5, 2019
M&t Securities, Inc.
BD capacity

Aug 17, 2018 → Jun 5, 2019
J.P. Morgan Securities LLC
BD capacity

Jan 7, 2014 → Apr 9, 2014
J.P. Morgan Securities LLC
BD capacity

Apr 14, 2010 → Feb 3, 2012
Vanguard Marketing Corporation
BD capacity

Jan 22, 1998 → Jul 26, 2004
Philadelphia Corporation For Investment Services
BD capacity

Nov 12, 1996 → Dec 23, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2800186 ↗ FINRA BrokerCheck record for CRD 2800186 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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