JP
Joshua M. Pianko
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CRD#: 2804762
JP
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.
Joshua Michael Pianko, who also goes by Joshua Pianko, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2002. Joshua had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joshua Pianko
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I*: 2025258 Name: Vegas Cabana Investments LLC Investment related: No Address: Las Vegas, Nevada Nature: LLC Title, or relationship: General Partner/Managing Member Start date: 01-Jan-2008 Approximate number of hours/month: 0 Number of hours you devote during securities trading hours: 0 Duties: This entity was establish to make an investment into food and beverage venues in las vegas. It currently owns one remaining investment in Cabo Wabo Las Vegas. Name: Villa Brisa Caribe LLC , Not Investment related, Address: Las Vegas, Nevada, Nature: Limited Liability Company, Your position: General Partner/Managing Member, Title, or relationship: General Partner/Managing Member, Start date: 01-Jan-2024 Approximate number of hours/month: 0 Number of hours you devote during securities trading hours:0, Duties: This entity was established to hold my mother and my interests in our family beach house in Puerto Aventuras, Mexico. Name: Vitra Eyewear Group LLC; Investment related - Yes; Corona Del Mar, California; Nature: Retail/Online Stores; Your position: General Partner/Managing Member, Title, or relationship: General Partner/Managing Member Start date: 01-Jan-2015; Approximate number of hours: 2 Weekly; during securities trading hours 0;Duties: Administrative. I*: 2024259 Name: Double J Investments LLC, Investment related:Yes Address: Manhattan Beach, California Nature: Limited Liability Company, Your position: Officer(President, CEO, ..), General Partner/Managing Member Title or relationship:Officer(President, CEO, ..), General Partner/Managing Member Start date: 01-Sep-2023 Approximate number of hours/month: 20 Number of hours during securities trading hours: 0 Duties:This Entity was established to continue making investments in small businesses in retail, F&B, real estate, etc. It is own by my irrevolcable trust. I will spend approximately 10-20 hours a month reviewing possible investments. I*2025259, Entity Type, Entity Charitable, Name of OBA: Jewish Federation of Nevada, Address: Las Vegas, NV, 89117, Investment Related: No, Position, Title, Association: Board Member, Employee Start Date: 01/18/2016, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: This is the Jewish Federation of Nevada, I am previous chair and a current board member. It's mission is to support the Jewish community of Nevada. I*2025261, Entity Type, Not-for-Profit, Name of OBA: Young President's Organization, Address: Irving, TX, 75062, Investment Related: No, Position, Title, Association: Board Member, Learning Officer, Employee Start Date: 01/01/2008, No Hours: 10hrs/Mo, No Hours during trading: 0, Duties: I am a member of YPO international, I have various roles within this networking group such as Chair of the local chapter. I*2025260, Entity Type, Entity Charitable, Name of OBA: Friends of United Hatzalah Inc., Address: New York, NY, 10018, Investment Related: No, Position, Title, Association: Board Member, Employee Start Date: 09/01/2024, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: I am a board member of the LA Chapter of this organization, It is the largest non-profit emergency response organization in Israel.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 19, 2024 - May 29, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
September 19, 2024 - May 29, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOS ANGELES, CA
Past
June 1, 2009 - October 2, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Beverly Hills, CA
Past
June 1, 2009 - October 2, 2024
MORGAN STANLEY
BD
CRD#: 149777
Beverly Hills, CA
Past
October 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LAS VEGAS, NV
Past
October 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LAS VEGAS, NV
Past
April 2, 2007 - October 10, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
LAS VEGAS, NV
Past
April 2, 2007 - October 10, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LAS VEGAS, NV
Past
December 13, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LAS VEGAS, NV
Past
July 24, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
LAS VEGAS, NV
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
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.
