Douglas Harley Amstutz

CRD 820127 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Bakersfield, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (12): Series 65Series 63Series 9Series 10Series 8SIESeries 3Series 31Series 15Series 5PCSeries 7
Registered states (30): Arizona · Arkansas · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Kentucky · Louisiana · Maine · Minnesota · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Oklahoma · Oregon · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wyoming
Years in the industry (source record): 50
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 820127 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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Bakersfield, CA · IA capacity

Nov 18, 1994 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Bakersfield, CA · BC capacity

start not retrieved → present
Prudential Securities Incorporated
BD capacity

Jan 28, 1985 → Jul 30, 1991
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 26, 1978 → Feb 12, 1985
Merrill Lynch, Pierce, Fenner & Smith, Inc.
BD capacity

Apr 1, 1976 → Sep 26, 1978

Source & corrections

Where this page comes from

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