John R Huber

CRD 4856999 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Stamford, CT

IA RegisteredBroker

Also appears in the source record as: John Riling Huber; John Huber

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 31Series 7Series 65Series 63
Registered states (19): California · Colorado · Connecticut · Florida · Illinois · Kansas · Maine · Massachusetts · Missouri · Nebraska · New Hampshire · New Jersey · New Mexico · New York · Oregon · South Carolina · Tennessee · Texas · Virginia
Years in the industry (source record): 20
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Stamford, CT · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Stamford, CT · BC capacity

start not retrieved → present
Citi Private Advisory, LLC
Short Hills, NJ · BC capacity

Mar 28, 2017 → Oct 14, 2022
Citigroup Global Markets Inc.
Short Hills, NJ · IA capacity

Sep 21, 2007 → Oct 14, 2022
Citigroup Global Markets Inc.
Short Hills, NJ · BC capacity

May 8, 2007 → Oct 14, 2022
Nfb Investment Services Corp.
Melville, NY · BC capacity

Feb 12, 2007 → Apr 24, 2007
Hsbc Securities (USA) Inc.
New York, NY · BC capacity

Apr 3, 2006 → Jan 9, 2007
Prime Capital Services, Inc.
Poughkeepsie, NY · BC capacity

Feb 18, 2005 → May 19, 2005

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 4856999 ↗ FINRA BrokerCheck record for CRD 4856999 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. 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.