Carrie Ann Riordan

CRD 6678474 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Norfolk, VA

IA RegisteredBroker

Also appears in the source record as: Carrie Ann Hoffmann; Carrie Riordan; Carrie A Vance; Carrie Ann Vance

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 (17): Arizona · California · District Of Columbia · Florida · Georgia · Maryland · Massachusetts · Minnesota · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · Texas · Virginia · West Virginia
Years in the industry (source record): 9
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 6678474 contains one or more disclosure events as of Aug 20, 2026.

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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 (4)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Norfolk, VA · IA capacity

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

start not retrieved → present
Morgan Stanley
Virginia Beach, VA · IA capacity

Apr 5, 2017 → Oct 15, 2019
Morgan Stanley
Virginia Beach, VA · BC capacity

Jan 27, 2017 → Oct 15, 2019

Source & corrections

Where this page comes from

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