Wayne Paul Scotto

CRD 4705071 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 65Series 63SIESeries 7
Registered states (18): California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Illinois · Maine · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · Texas · Vermont
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4705071 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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Sep 23, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

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

Oct 10, 2017 → May 16, 2024
Citigroup Global Markets Inc.
BD capacity

Oct 5, 2017 → May 16, 2024
Citigroup Global Markets Inc.
BD capacity

Dec 23, 2011 → Jul 27, 2017
Citigroup Global Markets Inc.
IA capacity

Dec 23, 2011 → Jul 27, 2017
Hsbc Securities (USA) Inc.
IA capacity

Aug 7, 2008 → Dec 22, 2011
Hsbc Securities (USA) Inc.
BD capacity

Aug 6, 2008 → Dec 22, 2011
Citigroup Global Markets Inc.
BD capacity

May 29, 2007 → Jul 24, 2008
Citicorp Investment Services
BD capacity

Oct 13, 2006 → May 29, 2007
Chase Investment Services Corp.
BD capacity

Jun 17, 2005 → Sep 13, 2005
Chase Investment Services Corp.
IA capacity

Jun 17, 2005 → Sep 13, 2005
Citicorp Investment Services
BD capacity

Mar 2, 2005 → Jun 23, 2005
Citicorp Investment Services
BD capacity

Sep 12, 2003 → Sep 30, 2004

Source & corrections

Where this page comes from

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