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Detailed Report
Viviana A Caicedo
CRD#: 6622702
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 TOWN CENTER RD
BOCA RATON, FL 33486
Registration History
20162017201820192020202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - Present (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - Present (8 years)
Disclosure(s)
View By:
5/28/2020
Financial
Final
License(s)

State Registrations

B
Alabama 8/11/2020
B
Mississippi 7/8/2020
B
Arizona 1/19/2018
B
Nevada 1/19/2018
B
California 1/19/2018
B
New Hampshire 10/26/2021
B
Colorado 1/19/2018
B
New Jersey 1/19/2018
B
Connecticut 1/19/2018
B
New York 1/19/2018
B
Delaware 1/19/2018
B
North Carolina 1/19/2018
B
District of Columbia 9/21/2022
B
Ohio 8/7/2020
B
Florida 10/11/2017
B
Pennsylvania 1/19/2018
IA
Florida 10/31/2017
B
Rhode Island 9/17/2024
B
Georgia 1/19/2018
B
South Carolina 1/19/2018
B
Hawaii 7/5/2022
B
Tennessee 1/19/2018
B
Illinois 1/19/2018
B
Texas 1/19/2018
B
Indiana 2/3/2021
IA
Texas 2/12/2018
B
Kentucky 2/22/2023
B
Utah 1/9/2025
B
Maryland 1/19/2018
B
Virginia 1/19/2018
B
Massachusetts 9/21/2020
B
Washington 1/19/2018
B
Michigan 1/19/2018
B
Wisconsin 7/30/2020
B
Minnesota 1/19/2018

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)
1 TOWN CENTER RD, BOCA RATON, FL 33486
Registered with this firm since 10/31/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 TOWN CENTER RD, BOCA RATON, FL 33486
Registered with this firm since 9/12/2016
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.