Sergio Omar Russell-Diaz

CRD 4854086 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Melville, NY

IA RegisteredBroker

Also appears in the source record as: Sergio Omar Russell; Sergio Russell; Sergio Russell-Diaz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 24SIESeries 7
Registered states (33): Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · 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 (12)

From the source registration record · current first

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

Oct 21, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Melville, NY · BC capacity

start not retrieved → present
Northwestern Mutual Investment Services,llc
IA capacity

Jul 26, 2021 → Jul 8, 2022
Northwestern Mutual Investment Services, LLC
BD capacity

Jul 23, 2021 → Jul 8, 2022
Ameriprise Financial Services, Inc.
IA capacity

Apr 4, 2018 → Dec 11, 2019
Ameriprise Financial Services, Inc.
BD capacity

Apr 3, 2018 → Dec 11, 2019
Neuberger Berman Bd LLC
IA capacity

Apr 4, 2017 → Feb 6, 2018
Neuberger Berman Bd LLC
BD capacity

Nov 22, 2016 → Feb 6, 2018
Park Avenue Securities LLC
BD capacity

Aug 25, 2008 → Nov 21, 2016
E*trade Securities LLC
BD capacity

Mar 5, 2007 → Apr 28, 2008
Computershare Securities Corporation
BD capacity

Jun 30, 2005 → Feb 9, 2007
Fordham Financial Management, Inc.
BD capacity

Sep 22, 2004 → Apr 18, 2005

Source & corrections

Where this page comes from

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