Rico Otway

CRD 6358974 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Rico A Otway; Rico Anthony Otway; Rico Antonio Otway

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 6Series 10Series 9Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 11
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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Weehawken, NJ · IA capacity

Jul 20, 2021 → Mar 24, 2025
Ubs Financial Services Inc.
Weehawken, NJ · BC capacity

Jul 20, 2021 → Mar 24, 2025
E*trade Capital Management, LLC
New York, NY · IA capacity

Oct 22, 2020 → Jul 20, 2021
E*trade Securities LLC
New York, NY · BC capacity

Oct 20, 2020 → Jul 20, 2021
Td Ameritrade, Inc.
Forest Hills, NY · IA capacity

Feb 15, 2019 → Nov 19, 2020
Td Ameritrade Investment Management, LLC
Forest Hills, NY · IA capacity

Feb 6, 2019 → Nov 19, 2020
Td Ameritrade, Inc.
Forest Hills, NY · BC capacity

Feb 4, 2019 → Nov 19, 2020
Unfcu Advisors LLC
New York, NY · IA capacity

Jul 31, 2018 → Jan 22, 2019
Communityamerica Financial Solutions, LLC
New York, NY · BC capacity

Apr 30, 2018 → Jan 18, 2019
Raymond James Financial Services Advisors, Inc
New York, NY · IA capacity

Jul 28, 2017 → May 1, 2018
Raymond James Financial Services, Inc.
New York, NY · BC capacity

Jul 21, 2017 → May 1, 2018
J.P. Morgan Securities LLC
New York, NY · IA capacity

Apr 14, 2016 → Jul 21, 2017
J.P. Morgan Securities LLC
New York, NY · BC capacity

Apr 14, 2016 → Jul 21, 2017

Source & corrections

Where this page comes from

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