Joseph Michael Scutts

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

SIESeries 7Series 6Series 65Series 63

Registered states (17)

California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Maine · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · Texas · Vermont

Years in the industry (source record)

17

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (23)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  New York, NY · IA capacity
  start not retrieved → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  New York, NY · BC capacity
  start not retrieved → present
• Edward Jones

  Rockville Centre, NY · BC capacity
  May 14, 2024 → May 9, 2025
• Edward Jones

  Rockville Centre, NY · IA capacity
  May 10, 2024 → May 9, 2025
• Masterworks Advisers, LLC

  New York, NY · IA capacity
  Dec 7, 2023 → Jun 11, 2024
• Equitable Advisors, LLC

  New York, NY · IA capacity
  Sep 29, 2023 → Nov 30, 2023
• Equitable Advisors, LLC

  New York, NY · BC capacity
  Sep 29, 2023 → Nov 30, 2023
• J.P. Morgan Securities LLC

  New York, NY · IA capacity
  Apr 2, 2019 → May 24, 2023
• J.P. Morgan Securities LLC

  New York, NY · BC capacity
  Apr 2, 2019 → May 24, 2023
• Santander Securities

  Brooklyn, NY · IA capacity
  May 18, 2018 → Feb 21, 2019
• Santander Securities LLC

  Brooklyn, NY · BC capacity
  May 17, 2018 → Feb 21, 2019
• Capital One Advisors, LLC

  New York, NY · IA capacity
  Feb 15, 2017 → Aug 30, 2017
• Capital One Investing, LLC

  New York, NY · BC capacity
  Feb 14, 2017 → Aug 30, 2017
• Td Ameritrade Investment Management, LLC

  New York City, NY · IA capacity
  Mar 6, 2015 → Jan 4, 2017
• Td Ameritrade, Inc.

  New York, NY · IA capacity
  Mar 3, 2015 → Jan 4, 2017
• Td Ameritrade, Inc.

  New York, NY · BC capacity
  Mar 2, 2015 → Jan 4, 2017
• Tiaa-Cref Advice And Planning Services

  New York, NY · IA capacity
  Sep 22, 2014 → Dec 19, 2014
• Tiaa-Cref Individual & Institutional Services, LLC

  New York, NY · BC capacity
  May 6, 2014 → Dec 19, 2014
• Citigroup Global Markets Inc.

  New York, NY · BC capacity
  Dec 22, 2011 → Apr 2, 2014
• Wells Fargo Advisors, LLC

  New York, NY · BC capacity
  Sep 13, 2007 → Aug 12, 2011
• Matrix Capital Group, Inc.

  New York, NY · BC capacity
  Feb 7, 2007 → Feb 20, 2007
• Metropolitan Life Insurance Company

  Aventura, FL · BC capacity
  Jun 2, 2006 → Jan 22, 2007
• Metlife Securities Inc.

  Aventura, FL · BC capacity
  Jun 2, 2006 → Jan 22, 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.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.