Richard Troast

CRD 4566837 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Richard Irving Troast III; Richard Irving Troast; Richard Troast

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 10Series 9SIESeries 7
Registered states (2): New Jersey · Texas
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4566837 contains one or more disclosure events as of Aug 20, 2026.

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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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pennington, NJ · IA capacity

Nov 14, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Ameriprise Financial Services, Inc.
BD capacity

May 20, 2005 → Oct 15, 2008
Ameriprise Financial Services, Inc.
IA capacity

Apr 28, 2005 → Oct 15, 2008
Ids Life Insurance Company
BD capacity

May 20, 2005 → Jul 3, 2006
Park Avenue Securities LLC
BD capacity

Oct 4, 2004 → Jan 20, 2005
American Express Financial Advisors, Inc.
IA capacity

Jul 31, 2003 → Aug 20, 2004
Ids Life Insurance Company
BD capacity

Sep 26, 2002 → Aug 20, 2004
American Express Financial Advisors Inc.
BD capacity

Sep 26, 2002 → Aug 20, 2004

Source & corrections

Where this page comes from

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