Shahmir John Moussavi

CRD 2985105 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pleasanton, CA

IA RegisteredBroker

Also appears in the source record as: Shahmir Moussavi; Shahmir John Moussaviarfa

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (18): Arizona · California · Colorado · Florida · Hawaii · Illinois · Maryland · Massachusetts · Michigan · Nevada · New York · North Carolina · Oregon · Tennessee · Texas · Utah · Virginia · Washington
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 2985105 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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
Pleasanton, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pleasanton, CA · BC capacity

start not retrieved → present
Wells Fargo Advisors
Pleasanton, CA · IA capacity

Dec 5, 2014 → Dec 10, 2024
Wells Fargo Clearing Services, LLC
Pleasanton, CA · BC capacity

Dec 5, 2014 → Dec 10, 2024
Ubs Financial Services Inc.
San Francisco, CA · IA capacity

Nov 21, 2008 → Dec 15, 2014
Ubs Financial Services Inc.
San Francisco, CA · BC capacity

Nov 21, 2008 → Dec 15, 2014
Citigroup Global Markets Inc.
Walnut Creek, CA · IA capacity

May 8, 2007 → Dec 11, 2008
Citigroup Global Markets Inc.
Walnut Creek, CA · BC capacity

Aug 1, 2005 → Dec 11, 2008
Mclaughlin, Piven, Vogel Securities, Inc.
New York, NY · BC capacity

Feb 4, 1998 → Apr 25, 2001

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2985105 ↗ FINRA BrokerCheck record for CRD 2985105 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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