Carla Deoliveira Rossi

CRD 5541661 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Tampa, FL

IA RegisteredBroker

Also appears in the source record as: Carla Rossi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 3Series 7Series 66
Registered states (46): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 17
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
Tampa, FL · IA capacity

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

start not retrieved → present
Morgan Stanley
Miami, FL · IA capacity

Nov 20, 2012 → Mar 13, 2015
Morgan Stanley
Miami, FL · BC capacity

Nov 19, 2012 → Mar 13, 2015
Wells Fargo Advisors, LLC
Miami, FL · IA capacity

Feb 17, 2009 → Nov 8, 2012
Wells Fargo Advisors, LLC
Miami, FL · BC capacity

Feb 9, 2009 → Nov 8, 2012
Barclays Capital Inc.
Miami, FL · IA capacity

Jan 21, 2009 → Feb 12, 2009
Barclays Capital Inc.
Miami, FL · BC capacity

Sep 22, 2008 → Feb 12, 2009
Lehman Brothers Inc.
Miami, FL · IA capacity

Sep 2, 2008 → Oct 15, 2008
Lehman Brothers Inc.
Miami, FL · BC capacity

Aug 28, 2008 → Sep 22, 2008

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5541661 ↗ FINRA BrokerCheck record for CRD 5541661 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.