Keith B Mccormack

CRD 4474555 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Great Neck, NY

IA RegisteredBroker

Also appears in the source record as: Keith Brian Mccormack

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 10Series 9SIESeries 7Series 6
Registered states (25): Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Maine · Maryland · Massachusetts · Minnesota · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · Texas · Utah · Vermont · Virginia
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 (6)

From the source registration record · current first

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

Jun 19, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Great Neck, NY · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
IA capacity

Aug 7, 2007 → Jun 18, 2008
Citigroup Global Markets Inc.
BD capacity

Jul 23, 2007 → Jun 18, 2008
Nylife Distributors Inc.
BD capacity

Sep 9, 2002 → Aug 21, 2003
21st Century Financial Services, Inc.
BD capacity

Nov 19, 2001 → Jun 24, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4474555 ↗ FINRA BrokerCheck record for CRD 4474555 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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