Raymond John Abbate

CRD 700067 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Red Bank, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 7TOSIESeries 3PCSeries 1Series 65Series 63
Registered states (20): Alabama · Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Maryland · Michigan · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Puerto Rico · Virginia · Washington
Years in the industry (source record): 51
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 700067 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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Red Bank, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Red Bank, NJ · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney LLC
Shrewsbury, NJ · IA capacity

Jun 1, 2009 → Sep 27, 2012
Morgan Stanley Smith Barney
Shrewsbury, NJ · BC capacity

Jun 1, 2009 → Sep 27, 2012
Citigroup Global Markets Inc.
Shrewsbury, NJ · IA capacity

May 8, 2002 → Jun 1, 2009
Citigroup Global Markets Inc.
Shrewsbury, NJ · BC capacity

Jul 31, 1993 → Jun 1, 2009
Lehman Brothers Inc.
New York, NY · BC capacity

May 5, 1981 → Jul 31, 1993
Bache Halsey Stuart Shields Incorporated
BC capacity

Aug 8, 1978 → Jun 1, 1981
First Jersey Securities, Inc.
BC capacity

Dec 2, 1974 → Sep 1, 1978
Mayflower Securities Co., Inc.
BC capacity

Sep 20, 1974 → Feb 6, 1975

Source & corrections

Where this page comes from

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