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Luis C Pinto JR
LUIS CARLOS PINTO JR
CRD#: 2805881
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 17802 W INTERSTATE 10
SAN ANTONIO, TX 78257
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1997 (<1 year)2 FIRMS1998 - 2005 (6 years)2 FIRMS2005 - 2010 (4 years)2 FIRMS2010 - 2010 (<1 year)2 FIRMS2010 - Present (14 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 1998 (1 year)
License(s)

State Registrations

B
Alabama 8/25/2021

B
Montana 8/21/2023

B
Alaska 6/10/2024

B
Nevada 1/5/2011

B
California 12/5/2019

B
New Jersey 4/19/2023

B
Colorado 1/5/2011

B
New York 5/4/2018

B
Connecticut 7/25/2023

B
North Carolina 4/18/2022

B
Delaware 1/5/2011

B
South Dakota 1/23/2019

B
District of Columbia 4/19/2023

B
Texas 9/27/2010

B
Florida 9/27/2010

IA
Texas 9/27/2010

B
Hawaii 3/8/2021

B
Utah 10/9/2023

B
Illinois 1/29/2020

B
Virginia 4/19/2023

B
Michigan 1/5/2011

B
Washington 4/19/2023

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 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)
17802 W INTERSTATE 10, SAN ANTONIO, TX 78257
Registered with this firm since 9/27/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
17802 W INTERSTATE 10, SAN ANTONIO, TX 78257
Registered with this firm since 9/27/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/01/2010 - 10/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN ANTONIO, TX
B
01/01/2010 - 10/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN ANTONIO, TX
IA
04/08/2005 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) SAN ANTONIO, TX
B
04/08/2005 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) SAN ANTONIO, TX
IA
10/15/1998 - 04/12/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SAN ANTONIO, TX
B
10/14/1998 - 04/12/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
08/19/1997 - 10/02/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
01/31/1997 - 05/08/1997 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
01/31/1997 - 05/08/1997 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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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.