Preeti Shah Tandon

CRD 5698459 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boston, MA

IA RegisteredBroker

Also appears in the source record as: Preeti Madhu Menon; Preeti Nandkumar Shah; Preeti Tandon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (8): Connecticut · Florida · Maine · Massachusetts · New Hampshire · New Jersey · Rhode Island · Vermont
Years in the industry (source record): 16
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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boston, MA · IA capacity

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

start not retrieved → present
J.P. Morgan Securities LLC
Boston, MA · IA capacity

Apr 22, 2022 → Oct 16, 2024
J.P. Morgan Securities LLC
Boston, MA · BC capacity

Apr 21, 2022 → Oct 16, 2024
Advice And Planning Services
Natick, MA · IA capacity

Nov 25, 2014 → Mar 22, 2022
Tiaa-Cref Individual & Institutional Services, LLC
Waltham, MA · BC capacity

Nov 25, 2014 → Mar 22, 2022
Cco Investment Services Corp.
Boston, MA · IA capacity

May 13, 2014 → Nov 11, 2014
Cco Investment Services Corp.
Boston, MA · BC capacity

May 13, 2014 → Nov 11, 2014
Wells Fargo Advisors, LLC
Anaheim, CA · IA capacity

Jun 22, 2010 → Sep 24, 2013
Wells Fargo Advisors, LLC
Anaheim, CA · BC capacity

Jun 21, 2010 → Sep 24, 2013
Wells Fargo Investments, LLC
Placentia, CA · IA capacity

Sep 21, 2009 → Jun 23, 2010
Wells Fargo Investments, LLC
San Francisco, CA · BC capacity

Sep 2, 2009 → Jun 23, 2010

Source & corrections

Where this page comes from

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