Johnny B Galaviz

CRD 5498231 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Cypress, TX

IA RegisteredBroker

Also appears in the source record as: Johnny Bautista Galauiz III; Johnny Bautista Galaviz III; Johnny Bautista Galaviz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (8): Arkansas · Colorado · Florida · Louisiana · Michigan · New Mexico · Oklahoma · Texas
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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Cypress, TX · IA capacity

Apr 15, 2024 → present
Morgan Stanley
IA capacity

Sep 5, 2023 → Jan 19, 2024
Morgan Stanley
BD capacity

Mar 23, 2023 → Jan 19, 2024
E*trade Capital Management, LLC
IA capacity

Jul 28, 2016 → Sep 5, 2023
E*trade Securities LLC
BD capacity

Apr 14, 2015 → Sep 5, 2023
Waddell & Reed
BD capacity

Jun 17, 2014 → Dec 24, 2014
First Investors Corporation
BD capacity

Apr 23, 2008 → May 29, 2014

Source & corrections

Where this page comes from

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