Michael Anthony Tartaglia

CRD 5149972 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Tallahassee, FL

IA RegisteredBroker

Also appears in the source record as: Michael A Tartaglia II; Michael A Tartaglia; Michael Anthony Tartaglia II; Mike Tartaglia

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 9Series 10Series 24SIESeries 7
Registered states (32): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Indiana · Maryland · Massachusetts · Michigan · Minnesota · Montana · Nebraska · Nevada · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5149972 contains one or more disclosure events as of Aug 20, 2026.

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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
Tallahassee, FL · IA capacity

May 27, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tallahassee, FL · BC capacity

start not retrieved → present
Strategic Advisers, Inc.
IA capacity

Mar 24, 2015 → Apr 25, 2016
Fidelity Brokerage Services LLC
BD capacity

Mar 12, 2015 → Apr 20, 2016
Northwestern Mutual Investment Services,llc
IA capacity

Apr 29, 2014 → Mar 5, 2015
Northwestern Mutual Investment Services, LLC
BD capacity

Apr 25, 2014 → Mar 5, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Dec 15, 2006 → Mar 24, 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 12, 2006 → Mar 24, 2014

Source & corrections

Where this page comes from

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