Erick J Montealegre

CRD 4686018 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Lake Mary, FL

IA RegisteredBroker

Also appears in the source record as: Erick Javier Montealegre; Erick Montealegre

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 7Series 6
Registered states (11): Alabama · California · Colorado · Florida · Georgia · Missouri · New Jersey · New York · North Carolina · South Carolina · Texas
Years in the industry (source record): 23
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 (17)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Lake Mary, FL · IA capacity

Sep 15, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Lake Mary, FL · BC capacity

start not retrieved → present
Truist Advisory Services, Inc.
IA capacity

Jul 20, 2021 → Mar 14, 2023
Truist Investment Services, Inc.
BD capacity

Jun 10, 2021 → Mar 14, 2023
J.P. Morgan Securities LLC
IA capacity

Sep 26, 2017 → Jun 2, 2021
J.P. Morgan Securities LLC
BD capacity

Sep 25, 2017 → Jun 2, 2021
J.P. Morgan Securities LLC
IA capacity

May 4, 2015 → Oct 26, 2015
J.P. Morgan Securities LLC
BD capacity

Apr 20, 2015 → Oct 26, 2015
Valic Financial Advisors, Inc.
IA capacity

Apr 1, 2011 → Apr 25, 2013
Valic Financial Advisors, Inc.
BD capacity

Mar 30, 2011 → Apr 25, 2013
Princor Financial Services Corporation
IA capacity

Oct 13, 2010 → Mar 29, 2011
Princor Financial Services Corporation
BD capacity

Sep 30, 2010 → Mar 29, 2011
Wells Fargo Advisors, LLC
IA capacity

Dec 1, 2008 → Jul 8, 2010
Wells Fargo Advisors, LLC
BD capacity

Nov 10, 2008 → Jul 8, 2010
Metlife Securities Inc.
BD capacity

Mar 25, 2008 → Sep 15, 2008
Metropolitan Life Insurance Company
BD capacity

Aug 25, 2003 → Jun 28, 2004
Metlife Securities Inc.
BD capacity

Aug 25, 2003 → Jun 28, 2004

Source & corrections

Where this page comes from

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