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Detailed Report
EUGENIO ORESTES RETANA
CRD#: 5016336
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 355 ALHAMBRA CIR
FLORIDA PWM CG II
CORAL GABLES, FL 33134
Registration History
200620082010201220142016201820202022202420262 FIRMS2022 - Present (3 years)BCITI PRIVATE ADVISORY, LLC (CRD# 153777)2017 - 2022 (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2022 (14 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2005 - 2007 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2022 (13 years)
License(s)

State Registrations

B
California 10/20/2023
B
New York 1/24/2023
B
District of Columbia 3/14/2023
B
North Carolina 2/28/2022
B
Florida 2/28/2022
B
Ohio 2/1/2023
IA
Florida 3/1/2022
B
Puerto Rico 3/5/2025
B
Maryland 2/28/2022
B
Texas 2/28/2022
B
Michigan 5/29/2024
IA
Texas 3/14/2022
B
Nevada 11/2/2023
B
Vermont 9/5/2024
B
New Hampshire 4/18/2024
B
Virginia 2/28/2022

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)
355 ALHAMBRA CIR FLORIDA PWM CG II, CORAL GABLES, FL 33134
Registered with this firm since 3/1/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
355 ALHAMBRA CIR FLORIDA PWM CG II, CORAL GABLES, FL 33134
Registered with this firm since 2/28/2022
Previous Registration(s)
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IA
 07/03/2008 - 03/01/2022 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MIAMI, FL
B
 03/28/2017 - 03/01/2022 CITI PRIVATE ADVISORY, LLC (CRD#:153777) MIAMI, FL
B
 05/29/2007 - 03/01/2022 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MIAMI, FL
B
 10/06/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MIAMI, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.