Joseph John Wathen
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.
Joseph John Wathen is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chicago, IL, where they have been registered since 2025. They have worked in the securities industry since 2017 and have been registered with 3 firms, including Cetera Investment Advisers LLC and Huntington Financial Advisors. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Illinois.
Office
Advisors at this office: 14
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Illinois
- Broker:
1 state or territory
Illinois
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.
- PNC BANKAug 2016 – Apr 2017Naperville, IL
- PNC InvestmentsAug 2016 – Apr 2017Pittsburgh, PA
- UnemployedApr 2017 – Jun 2017Worth, IL
- PNC BankJun 2017 – Aug 2017Naperville, IL
- Huntington BankSep 2017 – Jul 2018Elmwood Park, IL
- Huntington Investment CompanySep 2017 – Jul 2018Elmwood Park, IL
- Trinity Christian CollegeSep 2017 – Feb 2019Palos Heights, IL
- Cetera Investment Services LLCJul 2018 – Feb 2019St Cloud, MN
- Cetera Investment Advisers LLCJul 2018 – Feb 2019South Holland, IL
- First Merchants InvestmentsJul 2018 – Jan 2019South Holland, IL
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 2019 – Feb 2024Wheaton, IL
- Bank of America, N.A.Feb 2019 – Feb 2024Wheaton, IL
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 2025 – no end date reportedChicago, IL
- Ernst & YoungMar 2024 – Nov 2025Chicago, IL
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
View full firm profileOther advisors at Merrill Lynch, Pierce, Fenner & Smith Incorporated
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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. Joseph John Wathen 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.
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