Odon Noe Lopez

CRD 4869483 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (38): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Minnesota · Mississippi · Missouri · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · 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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · IA capacity

Jun 27, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
BD capacity

May 20, 2015 → Jun 29, 2023
Wells Fargo Clearing Services, LLC
IA capacity

May 20, 2015 → Jun 29, 2023
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → May 27, 2015
J.P. Morgan Securities LLC
IA capacity

Oct 1, 2012 → May 27, 2015
Chase Investment Services Corp.
BD capacity

Dec 14, 2007 → Oct 1, 2012
Chase Investment Services Corp.
IA capacity

Dec 14, 2007 → Oct 1, 2012
Wells Fargo Investments, LLC
IA capacity

Mar 2, 2005 → Dec 10, 2007
Wells Fargo Investments, LLC
BD capacity

Nov 25, 2004 → Dec 10, 2007

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 4869483 ↗ FINRA BrokerCheck record for CRD 4869483 ↗ 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.