Francis R. Merrill

ARETE RESEARCH LLC

Dallas, TX 75208

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CRD#: 4734216

Professional summary

Francis Robert Merrill IV, who also goes by Francis Robert Merrill, Robert Merrill, is a registered financial professional currently at ARETE RESEARCH LLC located in Dallas, Texas.

Francis is registered as a RR (Registered Representative) and started their career in finance in 2004. Francis has worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Francis Robert Merrill | Robert Merrill

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Robert Merrill IV's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 2, 2020 - Present

ARETE RESEARCH LLC

Office #1: 1309 Walmsley Ave, Dallas, TX 75208

CRD#: 128496

Dallas, TX

Past

June 20, 2018 - October 9, 2020

LOOP CAPITAL MARKETS LLC

CRD#: 43098

NEW YORK, NY

Past

September 30, 2015 - June 20, 2018

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

Past

January 2, 2014 - October 29, 2015

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912

New York, NY

Past

October 7, 2009 - January 3, 2014

WFG ADVISORS, LP

RIA

CRD#: 7691

DALLAS, TX

Past

February 27, 2004 - October 18, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/2/2020)

Connecticut
(3/30/2023)

Florida
(12/2/2020)

Illinois
(12/2/2020)

Massachusetts
(12/2/2020)

New York
(12/2/2020)

Oregon
(12/2/2020)

Texas
(12/2/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARETE RESEARCH LLC

CRD#: 128496 / SEC#: , 8-66145

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

1309 Walmsley Ave, Dallas, TX 75208

Mailing Address

1309 Walmsley Ave, Dallas, TX 75208

Phone number

(617) 357-4801

Established

Delaware since 06/20/2003

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ARETE RESEARCH LLP	OWNER
HASSAY, LAURIE ANN	FINOP	5676461
MERRILL, FRANCIS ROBERT IV	HEAD OF US EQUITY SALES, CCO	4734216

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.

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Advisor Monitoring

Firm Stability Insights

Francis R. Merrill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Robert Merrill IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOOP CAPITAL MARKETS LLC

DREXEL HAMILTON, LLC

ASCENDIANT CAPITAL MARKETS, LLC

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

ESPOSITO PARTNERS, LLC

ESPOSITO SECURITIES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

E*TRADE SECURITIES LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE CLEARING, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2004

SIE

Date: 10/1/2018

Series 7

Date: 2/26/2004

Series 24

Date: 12/18/2014

FINRA

Current Firm

ARETE RESEARCH LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ARETE RESEARCH LLC

TRUST BUT VERIFY

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