David Andrew Fohr

CRD 2854217 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: David A Fohr II; David Fohr; David Andrew Fohr II

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 4Series 9Series 10SIESeries 7
Registered states (1): North Carolina
Years in the industry (source record): 29
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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · IA capacity

Nov 2, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Apr 26, 2017 → Nov 2, 2021
Ubs Financial Services Inc.
IA capacity

Apr 26, 2017 → Nov 2, 2021
Wells Fargo Clearing Services, LLC
BD capacity

Nov 19, 2012 → Apr 5, 2017
Wells Fargo Clearing Services, LLC
IA capacity

Nov 19, 2012 → Apr 5, 2017
Lpl Financial LLC
BD capacity

Aug 5, 2011 → Oct 17, 2012
Lpl Financial LLC
IA capacity

Aug 5, 2011 → Oct 17, 2012
Uvest Financial Services Group, Inc.
BD capacity

Aug 12, 2011 → Apr 26, 2012
Metlife Securities Inc.
IA capacity

Aug 11, 2010 → Aug 9, 2011
Metlife Securities Inc.
BD capacity

Apr 9, 2010 → Aug 9, 2011
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Oct 1, 2009
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Oct 1, 2009
Citigroup Global Markets Inc.
IA capacity

Mar 11, 2005 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Oct 13, 1997 → Jun 1, 2009

Source & corrections

Where this page comes from

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