Joanna Correa

CRD 5235529 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Brea, CA

IA RegisteredBroker

Also appears in the source record as: Joanna Chang

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 66SIESeries 7
Registered states (14): Arizona · California · Florida · Georgia · Hawaii · Missouri · Nevada · New York · North Carolina · Oklahoma · Oregon · Tennessee · Texas · Washington
Years in the industry (source record): 19
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
Brea, CA · IA capacity

Aug 29, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Brea, CA · BC capacity

start not retrieved → present
National Planning Corporation
BD capacity

Nov 6, 2012 → Jan 27, 2015
National Planning Corporation ("npc Of America" In Fl & Ny)
IA capacity

Oct 16, 2012 → Jan 27, 2015
J P Turner & Company Capital Management, LLC
IA capacity

Oct 12, 2009 → Oct 5, 2011
J.P. Turner & Company, L.L.C.
BD capacity

Oct 8, 2009 → Oct 5, 2011
Lpl Financial Corporation
BD capacity

Jul 8, 2009 → Nov 17, 2009
Lpl Financial Corporation
IA capacity

Jul 8, 2009 → Nov 17, 2009
Ameriprise Financial Services, Inc.
IA capacity

Jan 14, 2008 → Dec 8, 2008
Ameriprise Financial Services, Inc.
BD capacity

Dec 12, 2007 → Dec 8, 2008
Ameriprise Financial Services, Inc.
BD capacity

May 22, 2007 → Jul 11, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5235529 ↗ FINRA BrokerCheck record for CRD 5235529 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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