Douglas William Man

CRD 4818049 · 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 (4): Series 66SIESeries 7Series 6
Registered states (45): Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · Wisconsin · Wyoming
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 (14)

From the source registration record · current first

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

May 22, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Morgan Stanley & Co., Incorporated
BD capacity

Apr 2, 2007 → Oct 16, 2007
Morgan Stanley & Co., Incorporated
IA capacity

Apr 2, 2007 → Oct 16, 2007
Morgan Stanley
IA capacity

Feb 13, 2007 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Feb 12, 2007 → Apr 2, 2007
Ubs Financial Services Inc.
BD capacity

Nov 14, 2005 → Feb 6, 2007
Ubs Financial Services Inc.
IA capacity

Nov 14, 2005 → Feb 6, 2007
Metropolitan Life Insurance Company
BD capacity

Mar 21, 2005 → Aug 8, 2005
Metlife Securities Inc.
BD capacity

Mar 21, 2005 → Aug 8, 2005
American Express Financial Advisors, Inc.
IA capacity

Nov 11, 2004 → Feb 18, 2005
Ids Life Insurance Company
BD capacity

Aug 27, 2004 → Feb 18, 2005
American Express Financial Advisors Inc.
BD capacity

Aug 27, 2004 → Feb 18, 2005
Woodbury Financial Services, Inc.
BD capacity

Jul 8, 2004 → Aug 11, 2004

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4818049 ↗ FINRA BrokerCheck record for CRD 4818049 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.