Scott Robert Doughty

CRD 4170000 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Ridgewood, NJ

IA RegisteredBroker

Also appears in the source record as: Scott R Doughty; Scott Doughty

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (17): California · Connecticut · Delaware · District Of Columbia · Florida · Maryland · Massachusetts · Minnesota · New Hampshire · New Jersey · New York · Ohio · Pennsylvania · Rhode Island · South Carolina · Texas · Virginia
Years in the industry (source record): 26
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Ridgewood, NJ · IA capacity

May 30, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Ridgewood, NJ · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
BD capacity

May 3, 2013 → Apr 17, 2019
Key Investment Services LLC
BD capacity

Apr 20, 2009 → Apr 5, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 4, 2008 → Feb 12, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 7, 2008 → Feb 12, 2009
Pnc Investments
BD capacity

Aug 6, 2008 → Sep 12, 2008
Pnc Investments
BD capacity

Jan 1, 2004 → Mar 7, 2008
J.J.B. Hilliard, W.L. Lyons, Inc.
BD capacity

Jul 11, 2003 → Jan 1, 2004
Td Waterhouse Investor Services, Inc.
BD capacity

Oct 25, 2000 → Aug 3, 2001
Gaines, Berland Inc.
BD capacity

May 22, 2000 → Jul 6, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4170000 ↗ FINRA BrokerCheck record for CRD 4170000 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.