Jeffrey A Frederick

CRD 2837836 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Jeffrey Alan Frederick

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 3Series 7Series 10Series 24Series 66Series 65Series 63
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): 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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Morgan Stanley
New York, NY · IA capacity

Jul 23, 2013 → Sep 16, 2016
Morgan Stanley
New York, NY · BC capacity

Jul 9, 2013 → Sep 16, 2016
Columbia Management Investment Advisers, LLC
New York, NY · IA capacity

Aug 22, 2011 → Feb 13, 2013
Columbia Management Investment Distributors, Inc.
Boston, MA · BC capacity

Aug 22, 2011 → Feb 13, 2013
Pimco Investments LLC
New York, NY · BC capacity

Feb 14, 2011 → Jun 30, 2011
Allianz Global Investors Distributors LLC
New York, NY · BC capacity

Jul 9, 2010 → Feb 14, 2011
Citigroup Global Markets Inc.
New York, NY · IA capacity

May 29, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
New York, NY · BC capacity

May 29, 2007 → Jun 1, 2009
Citicorp Investment Services
New York, NY · IA capacity

Sep 13, 2006 → May 29, 2007
Citicorp Investment Services
New York, NY · BC capacity

Jan 22, 2004 → May 29, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2837836 ↗ FINRA BrokerCheck record for CRD 2837836 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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