Susan Jones Kirkpatrick

CRD 3040410 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Plantation, FL

IA RegisteredBroker

Also appears in the source record as: Susan Elizabeth Jones; Susie Elizabeth Jones; Susie Jones Kirkpatrick

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 31Series 7
Registered states (36): Alabama · Alaska · Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or 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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Plantation, FL · IA capacity

Oct 21, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Plantation, FL · BC capacity

start not retrieved → present
Janney Montgomery Scott LLC
IA capacity

Feb 12, 2007 → Oct 21, 2016
Janney Montgomery Scott LLC
BD capacity

Jan 17, 2007 → Oct 21, 2016
Sig Advisors, L.L.C.
IA capacity

Nov 29, 2006 → Jan 9, 2007
Sig Securities, L.L.C.
BD capacity

Nov 20, 2006 → Jan 9, 2007
Summit Brokerage Services, Inc.
BD capacity

Feb 2, 2006 → Mar 13, 2006
Wm Financial Services, Inc.
IA capacity

Jul 19, 2004 → Mar 17, 2005
Wm Financial Services, Inc.
BD capacity

Jul 13, 2004 → Mar 17, 2005
Essex National Securities, Inc.
IA capacity

Jan 17, 2003 → Mar 19, 2004
Essex National Securities, Inc.
BD capacity

Jan 16, 2003 → Mar 19, 2004
Metropolitan Life Insurance Company
BD capacity

May 29, 2002 → Jan 16, 2003
Metlife Securities Inc.
BD capacity

May 29, 2002 → Jan 16, 2003
Quick & Reilly, Inc.
BD capacity

Nov 14, 2000 → Aug 14, 2001
Dean Witter Reynolds Inc.
BD capacity

May 21, 1998 → Nov 22, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3040410 ↗ FINRA BrokerCheck record for CRD 3040410 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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