Tawfiq Farraj

CRD 5592837 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Lisle, IL

IA RegisteredBroker

Also appears in the source record as: Tawfiq I Farraj; Towfiq Farraj; Tawfiq Farraj

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (15): Arizona · Florida · Illinois · Indiana · Iowa · Kansas · Kentucky · Michigan · Minnesota · Missouri · Nevada · North Carolina · Tennessee · Texas · Wisconsin
Years in the industry (source record): 12
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
Lisle, IL · IA capacity

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

start not retrieved → present
Citigroup Global Markets Inc.
River Forest, IL · IA capacity

Nov 5, 2021 → Nov 21, 2022
Citigroup Global Markets Inc.
River Forest, IL · BC capacity

Nov 5, 2021 → Nov 21, 2022
Fifth Third Securities, Inc.
Chicago, IL · IA capacity

Apr 11, 2019 → Nov 4, 2021
Fifth Third Securities, Inc.
Chicago, IL · BC capacity

Apr 11, 2019 → Nov 4, 2021
Country Capital Management Company
Chicago, IL · BC capacity

Jul 16, 2009 → Dec 1, 2010
Pruco Securities, LLC.
Downers Grove, IL · BC capacity

Sep 26, 2008 → Jun 23, 2009

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5592837 ↗ FINRA BrokerCheck record for CRD 5592837 ↗ 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.

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