Paul Michael Ridley

CRD 4415464 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Syracuse, NY

IA RegisteredBroker

Also appears in the source record as: Paul M Ridley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 7TOSIESeries 55Series 21Series 7Series 25Series 66Series 63
Registered states (2): Florida · New York
Years in the industry (source record): 16
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Syracuse, NY · IA capacity

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

start not retrieved → present
Thrivent Investment Management Inc.
Liverpool, NY · IA capacity

Jun 27, 2024 → Apr 23, 2025
Thrivent Investment Management Inc.
Liverpool, NY · BC capacity

Jun 27, 2024 → Apr 23, 2025
Exencial Wealth Advisors
Old Lyme, CT · IA capacity

Apr 10, 2023 → Feb 12, 2024
Prudential Financial Planning Services
Dewitt, NY · IA capacity

Sep 23, 2021 → Sep 30, 2022
Pruco Securities, LLC.
Dewitt, NY · BC capacity

Jul 17, 2020 → Sep 30, 2022
Fidelity Brokerage Services LLC
Covington, KY · BC capacity

Jun 1, 2005 → Apr 4, 2013
Goldman Sachs Execution & Clearing, L.P.
New York, NY · BC capacity

Jan 29, 2003 → May 2, 2005
Spear, Leeds & Kellogg Specialists LLC
New York, NY · BC capacity

Jun 19, 2001 → May 2, 2005

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4415464 ↗ FINRA BrokerCheck record for CRD 4415464 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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