Brett Palumbo

CRD 4696160 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Red Bank, NJ

IA RegisteredBroker

Also appears in the source record as: Brett David Palumbo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 57TOSIESeries 55Series 7Series 66Series 63
Registered states (22): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Illinois · Indiana · Kentucky · Maryland · Massachusetts · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Texas · Virginia · Washington · West Virginia
Years in the industry (source record): 22
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 (7)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Red Bank, NJ · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney LLC
Red Bank, NJ · IA capacity

Jun 14, 2010 → Aug 23, 2010
Morgan Stanley Smith Barney
Red Bank, NJ · BC capacity

May 14, 2010 → Aug 23, 2010
Ladenburg Thalmann & Co. Inc.
New York, NY · BC capacity

Aug 5, 2009 → Mar 31, 2010
Maxim Group LLC
New York, NY · BC capacity

Jul 30, 2007 → Aug 26, 2009
Jefferies & Company, Inc.
New York, NY · BC capacity

Oct 22, 2003 → Jun 29, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4696160 ↗ FINRA BrokerCheck record for CRD 4696160 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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