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Gareth Prescott
Gareth John Prescott
CRD#: 7294229
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
HOUSTON, TX 77002
Registration History
20202021202220232024202520262 FIRMS2021 - Present (3 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)2020 - 2021 (<1 year)
License(s)

State Registrations

B
Arkansas 12/10/2021

B
New Jersey 12/10/2021

B
California 12/10/2021

B
New Mexico 12/10/2021

B
Colorado 12/10/2021

B
New York 12/10/2021

B
District of Columbia 12/10/2021

B
North Carolina 12/10/2021

B
Florida 12/10/2021

B
Ohio 12/13/2021

B
Georgia 12/10/2021

B
Oklahoma 12/10/2021

B
Illinois 12/10/2021

B
Oregon 12/10/2021

B
Indiana 12/10/2021

B
Pennsylvania 12/10/2021

B
Kentucky 12/10/2021

B
Puerto Rico 1/2/2025

B
Louisiana 12/10/2021

B
Rhode Island 12/10/2021

B
Maryland 12/10/2021

B
Tennessee 12/10/2021

B
Massachusetts 1/15/2025

B
Texas 10/13/2021

B
Michigan 12/10/2021

IA
Texas 10/20/2021

B
Mississippi 12/10/2021

B
Virginia 12/10/2021

B
Nebraska 12/10/2021

B
Washington 12/10/2021

B
Nevada 12/10/2021

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

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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)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 10/20/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 10/13/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/17/2020 - 03/29/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) DALLAS, TX
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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.