• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOEL DAVID RIZZO
JOEL DAVE RIZZO, JOEL RIZZO
CRD#: 2145750
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 50 CALIFORNIA ST
SAN FRANCISCO, CA 94111
Registration History
19952000200520102015202020252 FIRMS1992 - 1992 (<1 year)2 FIRMS2002 - 2002 (<1 year)2 FIRMS2004 - 2011 (6 years)2 FIRMS2011 - 2018 (7 years)2 FIRMS2018 - Present (6 years)BMONY SECURITIES CORPORATION (CRD# 4386)2002 - 2003 (<1 year)BUBS PAINEWEBBER INC. (CRD# 8174)1999 - 2001 (1 year)BINVESTEC ERNST & COMPANY (CRD# 266)1999 - 1999 (<1 year)BSTUART, COLEMAN & CO., INC. (CRD# 8642)1998 - 1999 (1 year)BGKN SECURITIES CORP. (CRD# 19415)1996 - 1998 (1 year)BINVESTORS ASSOCIATES, INC. (CRD# 958)1996 - 1997 (<1 year)BBARINGTON CAPITAL GROUP, L.P. (CRD# 29383)1995 - 1996 (1 year)BOSCAR GRUSS & SON, INCORPORATED (CRD# 2091)1993 - 1994 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1993 (<1 year)IAMONY SECURITIES CORPORATION (CRD# 4386)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Arizona 10/11/2018

B
Missouri 11/10/2023

B
California 10/11/2018

B
Nevada 10/11/2018

IA
California 10/11/2018

B
New Jersey 2/13/2025

B
Connecticut 7/29/2024

B
New York 1/14/2025

B
Florida 10/11/2018

B
North Carolina 4/5/2023

B
Hawaii 8/28/2024

B
Oregon 10/11/2018

B
Idaho 9/25/2024

B
Texas 10/11/2018

B
Maryland 3/2/2021

IA
Texas 10/12/2018

B
Minnesota 2/22/2023

B
Washington 1/14/2020

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

View Exams Passed by the individual in the detailed report

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)
50 CALIFORNIA ST, SAN FRANCISCO, CA 94111
4098 24TH ST, SAN FRANCISCO, CA 94114
Registered with this firm since 10/11/2018

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
50 CALIFORNIA ST, SAN FRANCISCO, CA 94111
4098 24TH ST, SAN FRANCISCO, CA 94114
Registered with this firm since 10/11/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2011 - 10/09/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN FRANCISCO, CA
B
01/03/2011 - 10/09/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN FRANCISCO, CA
IA
10/29/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BERKELEY, CA
B
10/29/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BERKELEY, CA
IA
01/07/2003 - 11/07/2003 MONY SECURITIES CORPORATION (CRD#:4386) SAN FRANCISCO, CA
B
12/20/2002 - 11/07/2003 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
IA
10/17/2002 - 11/08/2002 RSM MCGLADREY, INC. (CRD#:111221) SAN FRANCISCO, CA
B
03/04/2002 - 11/07/2002 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
B
12/17/1999 - 11/16/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
06/01/1999 - 11/17/1999 INVESTEC ERNST & COMPANY (CRD#:266) NEW YORK, NY
B
05/19/1998 - 06/01/1999 STUART, COLEMAN & CO., INC. (CRD#:8642) NEW YORK, NY
B
12/04/1996 - 05/19/1998 GKN SECURITIES CORP. (CRD#:19415) NEW YORK, NY
B
06/24/1996 - 05/28/1997 INVESTORS ASSOCIATES, INC. (CRD#:958)
FINRA expelled the firm on 05/14/1998
HACKENSACK, NJ
B
03/14/1995 - 05/17/1996 BARINGTON CAPITAL GROUP, L.P. (CRD#:29383) NEW YORK, NY
B
04/15/1993 - 04/05/1994 OSCAR GRUSS & SON, INCORPORATED (CRD#:2091) NEW YORK, NY
B
10/28/1992 - 04/15/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/21/1992 - 10/02/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
04/10/1992 - 07/08/1992 BERKELEY SECURITIES CORPORATION (CRD#:8397) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.