Raymond Dominic Caggiano

CRD 3102243 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Raymond Caggiano; Raymond D Caggiano

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 31Series 7
Registered states (1): New Jersey
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Toms River, NJ · BD capacity

Nov 16, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Toms River, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Santander Securities LLC
BD capacity

Nov 8, 2018 → Jul 31, 2020
Santander Securities
IA capacity

Nov 8, 2018 → Jul 31, 2020
Sorrento Pacific Financial, LLC
IA capacity

Feb 2, 2017 → Oct 30, 2018
Sorrento Pacific Financial, LLC
BD capacity

Dec 1, 2015 → Oct 30, 2018
Santander Securities LLC
BD capacity

Sep 19, 2012 → Dec 1, 2015
Lpl Financial LLC
BD capacity

Jul 26, 2012 → Sep 20, 2012
Allstate Financial Services, LLC
BD capacity

Feb 17, 2011 → Jun 1, 2012
Wells Fargo Advisors, LLC
BD capacity

Jul 24, 2002 → Jul 1, 2010
Citistreet Equities LLC
BD capacity

Apr 11, 2001 → May 16, 2002
Dean Witter Reynolds Inc.
BD capacity

Sep 21, 1998 → Dec 7, 2000

Source & corrections

Where this page comes from

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