William G Peyton

CRD 2928433 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Garden City, NY

IA RegisteredBroker

Also appears in the source record as: William Gerard Peyton

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 79TOSIESeries 7Series 24Series 65Series 63
Registered states (2): New Jersey · New York
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Garden City, NY · IA capacity

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

start not retrieved → present
Morgan Stanley Smith Barney
Purchase, NY · BC capacity

Jun 1, 2009 → Sep 5, 2012
Morgan Stanley & Co. Incorporated
New York, NY · BC capacity

Dec 18, 2007 → Jun 1, 2009
Morgan Stanley Distribution, Inc.
Jersey City, NJ · BC capacity

Dec 19, 2006 → May 25, 2007
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Oct 18, 2002 → Jan 31, 2007
Ipo.Com Securities, Inc.
New York, NY · BC capacity

Dec 19, 2000 → Sep 6, 2001
Nebraska Hudson Company, Inc.
Omaha, NE · BC capacity

Nov 10, 1998 → Nov 10, 2000
Royce Investment Group, Inc.
Woodbury, NY · BC capacity

Oct 22, 1997 → Oct 19, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2928433 ↗ FINRA BrokerCheck record for CRD 2928433 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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