Cynthia Berenize Galvan

CRD 4914918 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Cynthia B. Galvan Miss.; Cynthia B. Galvan; Cynthia Galvan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (30): Alabama · Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Maine · Maryland · Massachusetts · Michigan · Mississippi · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · Washington · West Virginia
Years in the industry (source record): 17
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
Charlotte, NC · IA capacity

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

start not retrieved → present
Fidelity Personal And Workplace Advisors
Boston, MA · IA capacity

Jul 13, 2018 → Jul 7, 2020
Fidelity Brokerage Services LLC
Charlotte, NC · BC capacity

Dec 9, 2015 → Jul 6, 2020
Strategic Advisers LLC
Charlotte, NC · IA capacity

Jan 12, 2016 → Jul 13, 2018
Suntrust Investment Services, Inc.
Charlotte, NC · IA capacity

Aug 16, 2012 → Nov 12, 2015
Suntrust Investment Services, Inc.
Charlotte, NC · BC capacity

Jun 26, 2012 → Nov 12, 2015
Lpl Financial LLC
Loudonville, NY · BC capacity

Jun 14, 2010 → Jan 25, 2011
Uvest Financial Services Group, Inc.
Charlotte, NC · BC capacity

May 7, 2010 → Jun 21, 2010
Banc Of America Investment Services, Inc.
Latham, NY · BC capacity

Jul 22, 2005 → Jul 1, 2008

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4914918 ↗ FINRA BrokerCheck record for CRD 4914918 ↗ 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.

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