Dennis Walston

CRD 861574 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Stamford, CT

IA RegisteredBroker

Also appears in the source record as: Dennis Paul Walston

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 10Series 24SIESeries 7
Registered states (2): California · Texas
Years in the industry (source record): 48
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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BD capacity

Jun 24, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Stamford, CT · BC capacity

start not retrieved → present
Bofa Securities, Inc.
BD capacity

May 10, 2019 → Jun 25, 2019
Bofa Securities, Inc.
IA capacity

May 10, 2019 → Jun 25, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

May 27, 2010 → May 10, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 25, 2009 → May 10, 2019
Columbia Management Distributors, Inc.
BD capacity

Aug 20, 2005 → Sep 28, 2009
Bacap Distributors, LLC
BD capacity

Oct 21, 1999 → Aug 20, 2005
Ba Investment Services, Inc.
BD capacity

Jan 2, 1990 → Jan 5, 1999
Great Western Financial Securities Corporation
BD capacity

Apr 21, 1986 → Jan 12, 1988
National Partnership Equities,inc.
BD capacity

Mar 5, 1986 → Sep 9, 1986
Isfa Corporation
BD capacity

Sep 22, 1983 → Mar 26, 1984
Kennedy, Cabot & Co.
BD capacity

Jun 2, 1983 → Sep 20, 1983
Dean Witter Reynolds Inc.
BD capacity

Dec 1, 1978 → Nov 6, 1981

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 861574 ↗ FINRA BrokerCheck record for CRD 861574 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.