Jorge I. Rios
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jorge Ivan Rios, who also goes by Jorge IVan Rios Jr, Jorge Ivan Rios, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1993. Jorge had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2012 - September 16, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2012 - September 16, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2011 - December 12, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 7, 2010 - November 4, 2010
BNP PARIBAS INVESTMENT SERVICES, LLC
January 1, 2005 - January 29, 2009
HSBC SECURITIES (USA) INC.
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 21, 1996 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
October 5, 1993 - April 5, 1994
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
International Wealth AdvisorCRD#: 7691TRUST BUT VERIFY
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