David Andrew Massey

CRD 2993074 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Rancho Santa Fe, CA

IA RegisteredBroker

Also appears in the source record as: Dave Massey; David A Massey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 9Series 10Series 31SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2993074 contains one or more disclosure events as of Aug 20, 2026.

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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
Rancho Santa Fe, CA · IA capacity

Jun 20, 2011 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rancho Santa Fe, CA · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Jun 29, 2011
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Jun 29, 2011
Citigroup Global Markets Inc.
BD capacity

Feb 13, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Feb 13, 2008 → Jun 1, 2009
Ubs Financial Services Inc.
IA capacity

Dec 12, 2000 → Feb 22, 2008
Ubs Financial Services Inc.
BD capacity

Nov 7, 2000 → Feb 22, 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 8, 1999 → Oct 26, 2000

Source & corrections

Where this page comes from

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