Claudia Mocan Jenkins

CRD 2858349 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Newport Beach, CA

IA RegisteredBroker

Also appears in the source record as: Claudia Jenkins; Claudia Mocan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 65Series 63Series 7TOSIESeries 7
Registered states (1): California
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Newport Beach, CA · IA capacity

Aug 12, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Newport Beach, CA · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 23, 2009 → Jun 14, 2010
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 23, 2009 → Jun 14, 2010
Banc Of America Investment Services, Inc.
BD capacity

Sep 22, 2004 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Sep 22, 2004 → Oct 23, 2009
Banc Of America Investment Services, Inc.
BD capacity

Jan 29, 2001 → Dec 11, 2002
Banc Of America Investment Services, Inc.
IA capacity

Jan 24, 2001 → Dec 11, 2002
Ba Investment Services, Inc.
BD capacity

May 19, 1997 → Jan 19, 1999

Source & corrections

Where this page comes from

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