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RAJEEV RATHI
CRD#: 2636350
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
PBIG - CHICAGO
CHICAGO, IL 60606
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2014 (9 years)2 FIRMS2014 - Present (10 years)BLEHMAN BROTHERS INC. (CRD# 7506)2001 - 2005 (4 years)BJ.P. MORGAN SECURITIES INC. (CRD# 15733)1995 - 2001 (5 years)
License(s)

State Registrations

B
Alaska 11/1/2017

B
Missouri 7/1/2024

B
Arizona 10/10/2014

B
Montana 5/24/2024

B
California 10/10/2014

B
Nevada 10/10/2014

B
Colorado 5/13/2016

B
New Jersey 10/10/2014

B
Connecticut 11/14/2019

B
New York 10/13/2014

B
Delaware 10/10/2014

B
North Carolina 11/30/2016

B
Florida 10/10/2014

B
Ohio 5/8/2017

IA
Florida 12/17/2020

B
Oregon 10/10/2014

B
Georgia 5/20/2020

B
Pennsylvania 8/20/2018

B
Illinois 10/10/2014

B
Puerto Rico 1/30/2025

IA
Illinois 10/10/2014

B
South Carolina 10/10/2014

B
Indiana 10/10/2014

B
Tennessee 5/22/2018

B
Iowa 3/15/2017

B
Texas 10/10/2014

B
Kansas 12/13/2024

IA
Texas 10/10/2014

B
Kentucky 5/18/2017

B
Utah 3/28/2019

B
Maryland 9/29/2016

B
Virginia 10/13/2014

B
Massachusetts 11/7/2019

B
Wisconsin 10/10/2014

B
Michigan 10/10/2014

B
Wyoming 9/16/2022

B
Minnesota 10/10/2014

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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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)
110 N WACKER DR PBIG - CHICAGO, CHICAGO, IL 60606
Naples, FL
Registered with this firm since 10/10/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR PBIG - CHICAGO, CHICAGO, IL 60606
Naples, FL
Registered with this firm since 10/10/2014

Previous Registration(s)
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IA
06/15/2005 - 10/20/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) OAKBROOK TERRACE, IL
B
05/25/2005 - 10/20/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) OAKBROOK TERRACE, IL
B
03/14/2001 - 04/27/2005 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
08/31/1995 - 02/15/2001 J.P. MORGAN SECURITIES INC. (CRD#:15733) NEW YORK, NY
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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.