Maricel R Betz

CRD 3173972 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Naperville, IL

IA RegisteredBroker

Also appears in the source record as: Maricel Romero Betz; Maricel Betz; Maricel J Romero; Maricel Javate Romero; Maricel Romero

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 65Series 63Series 7TOSIESeries 6Series 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

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
Naperville, IL · IA capacity

Jan 8, 2020 → present
Country Capital Management Company
BD capacity

Jan 21, 2015 → Mar 8, 2017
Pruco Securities, LLC.
BD capacity

Mar 4, 2013 → Apr 21, 2014
Td Ameritrade, Inc.
IA capacity

Jan 3, 2008 → Sep 25, 2008
Amerivest Investment Management, LLC
IA capacity

Jan 3, 2008 → Sep 25, 2008
Td Ameritrade, Inc.
BD capacity

Jan 2, 2008 → Sep 25, 2008
Northern Trust Securities, Inc.
BD capacity

Feb 9, 2004 → Dec 20, 2007
Invest Financial Corporation
IA capacity

Nov 20, 2002 → Jan 26, 2004
Invest Financial Corporation
BD capacity

Nov 18, 2002 → Jan 26, 2004
American Express Financial Advisors, Inc.
IA capacity

Dec 6, 2001 → Sep 19, 2002
Ids Life Insurance Company
BD capacity

Oct 17, 2001 → Sep 19, 2002
American Express Financial Advisors Inc.
BD capacity

Oct 17, 2001 → Sep 19, 2002
Scudder Distributors, Inc.
BD capacity

Apr 9, 1999 → Oct 8, 2001

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3173972 ↗ FINRA BrokerCheck record for CRD 3173972 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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