Ian C Klass

CRD 4419223 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Ian Christopher Klass

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 24Series 66
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): 24
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
Charlotte, NC · IA capacity

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

start not retrieved → present
Blackrock Fund Advisors
San Francisco, CA · IA capacity

Oct 12, 2009 → Oct 14, 2010
Blackrock Fund Distribution Company
Jersey City, NJ · BC capacity

Oct 8, 2009 → Oct 14, 2010
Barclays Global Investors Services
Jersey City, NJ · BC capacity

Oct 14, 2009 → Dec 31, 2009
Banc Of America Investment Services, Inc.
New York, NY · IA capacity

Jan 8, 2009 → Sep 10, 2009
Banc Of America Investment Services, Inc.
New York, NY · BC capacity

Dec 15, 2008 → Sep 10, 2009
Columbia Management Advisors, LLC
New York, NY · IA capacity

Oct 10, 2007 → Dec 31, 2008
Columbia Management Distributors, Inc.
New York, NY · BC capacity

Oct 10, 2007 → Dec 31, 2008
Coastal Discount Stockbrokers, Inc.
Wilmington, NC · BC capacity

Jul 27, 2001 → Jul 13, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4419223 ↗ FINRA BrokerCheck record for CRD 4419223 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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.