William Floyd

CRD 3039547 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Atlanta, GA

IA RegisteredBroker

Also appears in the source record as: Gary Floyd; William Gary Floyd

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 10Series 9SIESeries 7
Registered states (2): Georgia · Massachusetts
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 3039547 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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Atlanta, GA · IA capacity

Nov 16, 2007 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Atlanta, GA · BC capacity

start not retrieved → present
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Nov 20, 2007
Wachovia Securities, LLC
IA capacity

Jul 1, 2003 → Nov 20, 2007
Prudential Securities Incorporated
IA capacity

Dec 18, 2002 → Jul 1, 2003
Prudential Securities Incorporated
BD capacity

May 15, 1998 → Jul 1, 2003

Source & corrections

Where this page comes from

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