Roberto Toriz

CRD 6848953 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Roberto Toriz Chavez; Roberto Torizchavez

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 (6): California · Florida · New Jersey · South Dakota · Texas · Wyoming
Years in the industry (source record): 8
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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Miami, FL · IA capacity

Apr 20, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Miami, FL · BC capacity

Apr 20, 2023 → present
Citigroup Global Markets Inc.
Miami, FL · IA capacity

May 7, 2018 → Apr 25, 2023
Citi Private Advisory, LLC
Miami, FL · BC capacity

Jan 16, 2018 → Apr 25, 2023
Citigroup Global Markets Inc.
Miami, FL · BC capacity

Dec 18, 2017 → Apr 25, 2023

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6848953 ↗ FINRA BrokerCheck record for CRD 6848953 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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