• 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.
Daniel E Maldonado Mercado
DANIEL E MALDONADO, DANIEL ENRIQUE MALDONADO, DANIEL ENRIQUE MALDONADOMERCADO
CRD#: 2561190
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
19952000200520102015202020252 FIRMS2003 - 2009 (6 years)2 FIRMS2011 - Present (13 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2009 - 2011 (2 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1996 - 2003 (6 years)BPFS INVESTMENTS INC. (CRD# 10111)1994 - 1997 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2011 (<1 year)
Disclosure(s)
View By:
5/8/2017
Customer Dispute
Settled
10/12/2015
Customer Dispute
Settled
6/27/2014
Customer Dispute
Settled
7/7/2005
Customer Dispute
Denied
10/14/2003
Customer Dispute
Denied
License(s)

State Registrations

B
California 7/29/2011

B
Pennsylvania 1/29/2021

B
Florida 7/29/2011

B
Puerto Rico 7/29/2011

B
Georgia 7/29/2011

B
Tennessee 11/14/2024

IA
Georgia 8/12/2011

B
Texas 8/15/2011

B
Hawaii 5/3/2023

IA
Texas 8/15/2011

B
Indiana 8/10/2020

B
Virgin Islands 7/29/2011

B
Massachusetts 8/26/2011

B
Virginia 7/29/2011

B
New Jersey 9/4/2012

B
Washington 7/29/2011

B
New York 12/16/2021

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)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 8/12/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 7/29/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/03/2011 - 08/02/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) GUAYNABO, PR
B
04/09/2009 - 08/02/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) GUAYNABO, PR
B
01/22/2003 - 04/22/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) GUAYNABO, PR
B
01/22/2003 - 04/22/2009 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) GUAYNABO, PR
B
12/24/1996 - 01/30/2003 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
12/07/1994 - 01/22/1997 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
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.