Anthony Perrotta

CRD 2955528 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Anthony Peter Perrota; Anthony Peter Perrotta; Anthony Perrotta

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 65Series 63SIESeries 7Series 3Series 55Series 31
Registered states (3): North Carolina · South Carolina · Texas
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2955528 contains one or more disclosure events as of Aug 20, 2026.

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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 · BD capacity

Jul 15, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Bofa Securities, Inc.
BD capacity

May 10, 2019 → Jul 17, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Jan 28, 2014 → May 10, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 23, 2013 → May 10, 2019
Tradestation Securities, Inc.
BD capacity

Sep 24, 2007 → Mar 17, 2008
Genworth Financial Securities Corporation
BD capacity

Oct 24, 2005 → Dec 11, 2006
Genworth Financial Advisers Corporation
IA capacity

Oct 24, 2005 → Dec 11, 2006
C.J.M. Asset Management, LLC
IA capacity

Feb 16, 2005 → Oct 24, 2005
C. J. M. Planning Corp.
BD capacity

Jan 14, 2005 → Oct 24, 2005
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 31, 2002 → Sep 25, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 29, 2000 → Dec 21, 2000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 16, 1998 → May 5, 2000
Dean Witter Reynolds Inc.
BD capacity

May 13, 1998 → Oct 2, 1998
Prudential Securities Incorporated
BD capacity

Mar 31, 1998 → May 13, 1998

Source & corrections

Where this page comes from

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