Melinda G Rogers

CRD 4953086 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Knoxville, TN

IA RegisteredBroker

Also appears in the source record as: Melinda Gail Nixon; Mindy Nixon; Melinda Gail Rogers; Mindy Gail Rogers

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 (23): Alabama · Arizona · Arkansas · California · Colorado · District Of Columbia · Florida · Georgia · Idaho · Indiana · Kentucky · Maryland · Massachusetts · Mississippi · North Carolina · Ohio · Oklahoma · South Carolina · Tennessee · Texas · Virginia · Washington · West 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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Knoxville, TN · IA capacity

Jan 30, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Knoxville, TN · BC capacity

start not retrieved → present
First Tennessee Advisory Services, Inc.
IA capacity

Apr 20, 2012 → Jan 9, 2013
First Tennessee Brokerage, Inc.
BD capacity

Aug 31, 2011 → Jan 9, 2013
Ftb Advisors, Inc.
IA capacity

Aug 31, 2011 → Mar 30, 2012
Stifel, Nicolaus & Company, Incorporated
BD capacity

Oct 16, 2009 → Aug 22, 2011
Stifel, Nicolaus & Company, Incorporated
IA capacity

Oct 16, 2009 → Aug 22, 2011
Ubs Financial Services Inc.
BD capacity

Jun 27, 2008 → Oct 16, 2009
Ubs Financial Services Inc.
IA capacity

Jun 27, 2008 → Oct 16, 2009
Ubs Financial Services Inc.
IA capacity

Jun 6, 2006 → Oct 13, 2006
Ubs Financial Services Inc.
BD capacity

May 8, 2006 → Oct 13, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4953086 ↗ FINRA BrokerCheck record for CRD 4953086 ↗ 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.

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