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BENJAMIN ERIK PORTNOY
CRD#: 4119917
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2009 (8 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (6 years)
License(s)

State Registrations

B
Alabama 10/30/2017

B
Missouri 3/1/2013

B
Alaska 3/1/2013

B
Montana 3/1/2013

B
Arizona 3/1/2013

B
Nebraska 3/1/2013

B
Arkansas 10/30/2017

B
Nevada 3/1/2013

B
California 1/12/2011

B
New Hampshire 10/30/2017

IA
California 1/13/2011

B
New Jersey 3/1/2013

B
Colorado 3/1/2013

B
New Mexico 3/1/2013

B
Connecticut 2/3/2011

B
New York 2/3/2011

B
Delaware 10/30/2017

B
North Carolina 4/8/2011

B
District of Columbia 3/1/2013

B
North Dakota 10/2/2023

B
Florida 3/1/2013

B
Ohio 3/4/2013

B
Georgia 3/1/2013

B
Oklahoma 3/1/2013

B
Hawaii 3/1/2013

B
Oregon 3/1/2013

B
Idaho 3/1/2013

B
Pennsylvania 3/1/2013

B
Illinois 3/1/2013

B
Puerto Rico 3/1/2013

B
Indiana 3/1/2013

B
Rhode Island 10/2/2023

B
Iowa 3/1/2013

B
South Carolina 3/1/2013

B
Kansas 4/1/2016

B
South Dakota 6/18/2024

B
Kentucky 3/1/2013

B
Tennessee 3/1/2013

B
Louisiana 3/1/2013

B
Texas 3/1/2013

B
Maine 10/30/2017

IA
Texas 3/22/2013

B
Maryland 3/1/2013

B
Utah 3/1/2013

B
Massachusetts 3/1/2013

B
Virginia 3/1/2013

B
Michigan 3/1/2013

B
Washington 3/1/2013

B
Minnesota 3/1/2013

B
West Virginia 3/1/2021

B
Mississippi 2/1/2021

B
Wisconsin 3/1/2013

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)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 1/13/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 1/12/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 01/04/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN FRANCISCO, CA
B
06/01/2009 - 01/04/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN FRANCISCO, CA
IA
12/20/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
03/08/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
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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.