Robert J Griffin

CRD 4760860 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: John Griffin; Robert John Griffin

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 (3): Florida · Maryland · Texas
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4760860 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
Tampa, FL · BD capacity

Jun 16, 2011 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tampa, FL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Deutsche Bank Securities Inc.
IA capacity

Jun 10, 2009 → May 27, 2011
Deutsche Bank Securities Inc.
BD capacity

Aug 9, 2007 → May 27, 2011
Axa Advisors, LLC
BD capacity

May 3, 2007 → Jun 15, 2007
Metropolitan Life Insurance Company
BD capacity

Nov 27, 2006 → Apr 17, 2007
Metlife Securities Inc.
BD capacity

Nov 27, 2006 → Apr 17, 2007
T. Rowe Price Investment Services, Inc.
BD capacity

Feb 10, 2005 → Nov 22, 2006

Source & corrections

Where this page comes from

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