Peter Joseph Miniati

CRD 4348720 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Providence, RI

IA RegisteredBroker

Also appears in the source record as: Peter Joseph Miniati III

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 7TOSIESeries 7
Registered states (2): Massachusetts · Rhode Island
Years in the industry (source record): 25
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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Providence, RI · IA capacity

Jan 6, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Providence, RI · BC capacity

start not retrieved → present
F L Putnam Investment Management Co.
IA capacity

Apr 3, 2020 → Oct 24, 2022
Napatree Capital LLC
IA capacity

Mar 14, 2018 → Mar 19, 2020
Quick & Reilly, Inc.
BD capacity

Apr 4, 2001 → Apr 11, 2003

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4348720 ↗ FINRA BrokerCheck record for CRD 4348720 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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