Cesar Elizondo Pena

CRD 4230678 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Cesar A. Elizondo; Cesar Alejandro Elizondo; Cesar A. Elizondo Pena; Cesar Alejandro Elizondo Pena; Cesar Elizondo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 66SIESeries 7
Registered states (19): Arizona · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Illinois · Maryland · Massachusetts · New Jersey · New York · Pennsylvania · Puerto Rico · South Dakota · Texas · Virgin Islands · Virginia · Wyoming
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 (8)

From the source registration record · current first

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

Aug 13, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Miami, FL · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2010 → Jul 24, 2018
J.P.Morgan Securities Inc.
BD capacity

Oct 1, 2008 → Dec 2, 2008
J.P. Morgan Securities Inc.
BD capacity

Aug 21, 2003 → Oct 1, 2008
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Jul 11, 2003
Prudential Securities Incorporated
BD capacity

Jul 17, 2002 → Jul 1, 2003
Donaldson, Lufkin & Jenrette Securities Corporation
BD capacity

Oct 9, 2000 → May 15, 2002

Source & corrections

Where this page comes from

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