Carl Alex Cascella

CRD 874756 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Manchester Center, VT

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 3Series 7
Registered states (31): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Iowa · Kentucky · Maine · Massachusetts · Montana · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington
Years in the industry (source record): 47
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 874756 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Manchester Center, VT · IA capacity

Aug 19, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Manchester Center, VT · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
IA capacity

Mar 25, 1992 → Aug 26, 2009
Ubs Financial Services Inc.
BD capacity

Apr 29, 1987 → Aug 26, 2009
Paine, Webber, Jackson & Curtis Inc.
BD capacity

Jan 31, 1980 → Dec 10, 1983
Thomson Mckinnon Securities Inc.
BD capacity

Apr 28, 1981 → Jan 26, 1982
Shearson Loeb Rhoades Inc.
BD capacity

Feb 8, 1980 → Apr 20, 1981
Blyth Eastman Dillon & Co. Incorporated
BD capacity

Dec 4, 1979 → Feb 18, 1980

Source & corrections

Where this page comes from

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