Bradford M Malloy

CRD 7113767 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Orlando, FL

IA RegisteredBroker

Also appears in the source record as: Brad M Malloy; Bradford Michael Malloy; Bradford Malloy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 7TOSIESeries 66
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): 6
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 (10)

From the source registration record · current first

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

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

start not retrieved → present
Pershing LLC
Lake Mary, FL · BC capacity

Feb 17, 2023 → May 29, 2024
Pershing Advisor Solutions LLC
Lake Mary, FL · BC capacity

Feb 17, 2023 → May 29, 2024
Madison Avenue Securities, LLC
Winter Garden, FL · BC capacity

Oct 19, 2021 → Dec 6, 2022
Ae Wealth Management, LLC
Winter Garden, FL · IA capacity

Nov 12, 2021 → Dec 5, 2022
Principal Securities, Inc.
Maitland, FL · IA capacity

Jan 7, 2021 → Oct 20, 2021
Principal Securities, Inc.
Maitland, FL · BC capacity

Jan 5, 2021 → Oct 20, 2021
Edward Jones
Kissimmee, FL · IA capacity

Sep 10, 2019 → Nov 4, 2020
Edward Jones
Kissimmee, FL · BC capacity

Aug 2, 2019 → Nov 4, 2020

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 7113767 ↗ FINRA BrokerCheck record for CRD 7113767 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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