Avesh Shawn Baboolal
Investment Adviser Representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Avesh Shawn Baboolal is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY, where they have been registered since 2025. They have worked in the securities industry since 2021 and have been registered with 3 firms, including J.p. Morgan Securities LLC and Morgan Wilshire Securities, Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California, Connecticut, Delaware, New York, and Texas.
Office
Advisors at this office: 336
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Connecticut, Delaware, New York, Texas
- Broker:
15 states and territories
California, Connecticut, Delaware, Florida, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, Vermont
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Market SourceSep 2016 – Oct 2017Brooklyn, NY
- AT & TOct 2017 – Aug 2018Howard beach, NY
- T-MobileSep 2018 – May 2019Hollis, NY
- morgan wilshire sec incJun 2019 – Jan 2023garden city, NY
- J.P. Morgan Securities LLCMar 2024 – Aug 2025New York, NY
- JP Morgan Chase Bank, N.A.Mar 2024 – Aug 2025New York, NY
- morgan wilshire sec incJan 2023 – Mar 2024garden city, NY
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 2025 – no end date reportedNew York, NY
- Bank of America, N.A.Sep 2025 – no end date reportedNew York, NY
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merrill Lynch, Pierce, Fenner & Smith Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Small Business 401(k) plans including Group 401(k) and Individual 401(k), SEP IRA, SIMPLE IRA, investment fiduciary services, recordkeeping, trading, custodial and financial wellness services, and call center educational support for employees.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 25,472
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-14235
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Avesh Shawn Baboolal has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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