David P. Henesey

CRD 5239597 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Rancho Santa Fe, CA

IA RegisteredBroker

Also appears in the source record as: David P Henesey Mr.; David P Henesey; David Patrick Henesey; David Henesey

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 (12): California · Colorado · Florida · Illinois · Massachusetts · Michigan · Nevada · New York · North Carolina · Pennsylvania · Texas · Utah
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rancho Santa Fe, CA · IA capacity

May 3, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rancho Santa Fe, CA · BC capacity

start not retrieved → present
State Street Global Advisors Funds Distributors, LLC
BD capacity

Apr 16, 2015 → Apr 30, 2024
Foreside Funds Distributors LLC
BD capacity

Aug 29, 2014 → Feb 23, 2015
Signator Investors, Inc.
IA capacity

Jul 9, 2012 → Jul 11, 2014
Manulife Asset Management (US) LLC
IA capacity

May 10, 2007 → Jul 11, 2014
John Hancock Funds, LLC
BD capacity

May 3, 2007 → Jul 11, 2014
John Hancock Distributors LLC
BD capacity

Mar 30, 2011 → Dec 31, 2012
John Hancock Advisers, LLC
IA capacity

May 7, 2007 → Dec 31, 2010
Columbia Management Distributors, Inc.
BD capacity

Dec 18, 2006 → Jan 11, 2007

Source & corrections

Where this page comes from

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