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Detailed Report
Roberto D Calderon
Roberto Calderon
CRD#: 7186315
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
Registration History
20202021202220232024202520262 FIRMS2021 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2020 - 2021 (<1 year)
License(s)

State Registrations

B
Florida 10/11/2021
IA
Pennsylvania 8/6/2024
B
New Jersey 10/19/2021
B
Texas 10/19/2021
B
North Carolina 1/10/2025
IA
Texas 10/19/2021
B
Pennsylvania 10/19/2021

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)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 10/12/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 10/11/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/19/2021 - 09/21/2021 PRINCIPAL SECURITIES, INC. (CRD#:1137) MIAMI, FL
B
 03/15/2021 - 09/21/2021 PRINCIPAL SECURITIES, INC. (CRD#:1137) MIAMI, FL
B
 11/30/2020 - 03/17/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) CORAL GABLES, 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.