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RODOLFO RAZO JR.
RODOLFO RAZO JR, RODOLFO RAZO
CRD#: 4480145
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2008 (6 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - Present (10 years)
License(s)

State Registrations

B
Arizona 3/3/2015

B
Mississippi 3/18/2015

B
California 2/27/2015

B
Missouri 3/3/2015

B
Colorado 2/27/2015

B
New Jersey 5/5/2021

B
Connecticut 5/2/2022

B
New Mexico 5/5/2021

B
Delaware 10/27/2016

B
New York 2/27/2015

B
Florida 2/27/2015

B
North Carolina 3/2/2015

B
Georgia 2/27/2015

B
North Dakota 3/3/2021

B
Hawaii 9/20/2023

B
Oklahoma 11/27/2023

B
Idaho 3/18/2015

B
Pennsylvania 5/5/2021

B
Illinois 2/27/2015

B
Rhode Island 9/16/2024

IA
Illinois 2/27/2015

B
South Carolina 2/27/2015

B
Indiana 2/27/2015

B
Tennessee 3/3/2015

B
Iowa 2/27/2015

B
Texas 2/27/2015

B
Kentucky 5/5/2021

IA
Texas 2/27/2015

B
Maryland 6/21/2022

B
Utah 5/26/2020

B
Massachusetts 2/27/2015

B
Vermont 5/5/2021

B
Michigan 3/3/2015

B
Washington 10/1/2021

B
Minnesota 1/9/2019

B
Wisconsin 3/12/2019

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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 2/27/2015

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 2/27/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/14/2014 - 01/15/2015 HIGHTOWER ADVISORS, LLC (CRD#:145323) CHICAGO, IL
B
03/14/2014 - 01/15/2015 HIGHTOWER SECURITIES, LLC (CRD#:116681) CHICAGO, IL
IA
10/23/2009 - 02/18/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
10/23/2009 - 02/18/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
IA
10/24/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
B
10/24/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
IA
04/03/2002 - 10/24/2008 LASALLE FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
B
01/30/2002 - 10/24/2008 LASALLE FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
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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.