Michael Preate

CRD 5230687 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · West Palm Beach, FL

IA RegisteredBroker

Also appears in the source record as: Michael Anthony Preate; Michael Robert Preate

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 31Series 7
Registered states (6): California · Florida · New Jersey · New York · North Carolina · Pennsylvania
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Palm Beach, FL · IA capacity

Aug 15, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Palm Beach, FL · BC capacity

start not retrieved → present
Pnc Investments
IA capacity

Nov 20, 2013 → Aug 19, 2019
Pnc Investments
BD capacity

Nov 18, 2013 → Aug 19, 2019
Amerivest Investment Management, LLC
IA capacity

Sep 29, 2010 → Nov 25, 2013
Td Ameritrade, Inc.
IA capacity

Aug 12, 2010 → Nov 25, 2013
Td Ameritrade, Inc.
BD capacity

Aug 11, 2010 → Nov 25, 2013
Assent LLC
BD capacity

Feb 5, 2010 → Apr 29, 2010
Echotrade LLC
BD capacity

Jun 15, 2009 → Feb 8, 2010
Morgan Stanley & Co., Incorporated
BD capacity

Apr 2, 2007 → Aug 1, 2007
Morgan Stanley & Co., Incorporated
IA capacity

Apr 2, 2007 → Aug 1, 2007
Morgan Stanley
IA capacity

Jan 16, 2007 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Dec 14, 2006 → Apr 2, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5230687 ↗ FINRA BrokerCheck record for CRD 5230687 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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