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Detailed Report
Erik Perlman
ERIK J. PERLMAN, ERIK JONATHAN PERLMAN
CRD#: 2111052
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 TOWN CENTER RD
BOCA RATON, FL 33486
Registration History
19952000200520102015202020252 FIRMS2019 - Present (5 years)BPRUDENTIAL ANNUITIES DISTRIBUT... (CRD# 21570)2009 - 2018 (9 years)BPUTNAM MUTUAL FUNDS CORP. (CRD# 7325)1991 - 1994 (3 years)
License(s)

State Registrations

B
Alabama 4/11/2023
B
Nevada 4/5/2023
B
Arizona 10/4/2019
B
New Jersey 10/4/2019
B
California 6/15/2020
B
New York 10/4/2019
B
Colorado 8/16/2022
B
North Carolina 4/5/2023
B
Connecticut 6/9/2023
B
Ohio 11/30/2021
B
Delaware 11/10/2022
B
Pennsylvania 2/2/2023
B
District of Columbia 9/6/2022
B
South Carolina 2/7/2023
B
Florida 8/29/2019
B
Tennessee 11/16/2020
IA
Florida 8/30/2019
B
Texas 12/3/2021
B
Georgia 4/10/2023
IA
Texas 12/6/2021
B
Illinois 11/9/2022
B
Utah 1/8/2025
B
Indiana 1/4/2021
B
Virginia 9/6/2022
B
Maryland 9/6/2022
B
Washington 11/21/2022
B
Massachusetts 10/4/2019
B
Wisconsin 5/16/2022
B
Minnesota 11/29/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 TOWN CENTER RD, BOCA RATON, FL 33486
Registered with this firm since 8/30/2019
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 TOWN CENTER RD, BOCA RATON, FL 33486
Registered with this firm since 7/20/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/30/2009 - 12/26/2018 PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (CRD#:21570) SHELTON, CT
B
 07/25/1991 - 09/09/1994 PUTNAM MUTUAL FUNDS CORP. (CRD#:7325)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.