Maria Chaves Vales

CRD 3035469 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Guaynabo, PR

IA RegisteredBroker

Also appears in the source record as: Maria De Los A Chaves; Maria De Los Angeles Chaves-Vales

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (32): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3035469 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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Guaynabo, PR · IA capacity

Dec 18, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Guaynabo, PR · BC capacity

start not retrieved → present
Ubs Financial Services Incorporated Of Puerto Rico
BD capacity

Dec 18, 2002 → Oct 27, 2009
Ubs Financial Services Inc.
BD capacity

Dec 18, 2002 → Oct 27, 2009
American General Securities Incorporated
BD capacity

Oct 21, 2002 → Dec 17, 2002

Source & corrections

Where this page comes from

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