Arnold Rosales

CRD 5432550 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Arnold Alex Rosales; Arnor Alexis Rosales Arguedas

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 (1): North Carolina
Years in the industry (source record): 18
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Pnc Investments
Charlotte, NC · IA capacity

Aug 19, 2014 → Nov 22, 2016
Pnc Investments
Charlotte, NC · BC capacity

Aug 19, 2014 → Nov 22, 2016
Lpl Financial LLC
Charlotte, NC · IA capacity

Aug 12, 2013 → Aug 8, 2014
Lpl Financial LLC
Charlotte, NC · BC capacity

Aug 12, 2013 → Aug 8, 2014
Wells Fargo Advisors, LLC
Charlotte, NC · IA capacity

Jan 9, 2009 → Aug 1, 2013
Wells Fargo Advisors, LLC
Charlotte, NC · BC capacity

Dec 17, 2007 → Aug 1, 2013

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5432550 ↗ FINRA BrokerCheck record for CRD 5432550 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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