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Detailed Report
Nicholas T Smail
Nicholas Timothy Smail, Nick Smail
CRD#: 7364366
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 933 BROAD ST
AUGUSTA, GA 30901
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (<1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2022 - 2024 (2 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2023 - 2024 (1 year)
License(s)

State Registrations

B
Alabama 9/6/2024
B
South Carolina 9/6/2024
B
Florida 9/6/2024
B
Tennessee 9/6/2024
B
Georgia 9/4/2024
B
Texas 9/6/2024
IA
Georgia 9/5/2024
IA
Texas 9/23/2024
B
North Carolina 9/6/2024

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)
933 BROAD ST, AUGUSTA, GA 30901
Registered with this firm since 9/5/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
933 BROAD ST, AUGUSTA, GA 30901
Registered with this firm since 9/4/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/10/2023 - 08/06/2024 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Augusta, GA
B
 05/23/2022 - 08/06/2024 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) AUGUSTA, GA
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.