Josiah Lotz
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.
Josiah Lotz is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Nashville, TN, where they have been registered since 2024. They have worked in the securities industry since 2024 and were previously registered with Fidelity Brokerage Services LLC. They have passed 4 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 Tennessee and Texas.
Registrations & licenses
- Investment adviser:
- Tennessee, Texas
- Broker:
12 states and territories
Alabama, Arkansas, Florida, Georgia, Kentucky, Mississippi, Missouri, North Carolina, South Carolina, Tennessee, Texas, Virginia
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.
- Western Governor's UniversityFeb 2021 – Sep 2023Salt Lake City, UT
- Western Governor's UniversityFeb 2019 – Feb 2021Salt Lake City, UT
- Stubhub Inc.Sep 2018 – Feb 2019Draper, UT
- PAPA LT Inc.Sep 2018 – Sep 2018Salt Lake City, UT
- Fidelity InvestmentsSep 2023 – Sep 2024Salt Lake City, UT
- Ibaraki Board OF EducationJul 2017 – Jul 2018Mito
- Dominos PizzaJan 2015 – Jul 2017Circle Pines, MN
- Eastern Carver County School DistrictAug 2016 – Jun 2017Chaska, MN
- Hopkins Public SchoolsAug 2016 – Jun 2017Hopkins, MN
- Bethel UniversityApr 2015 – Jun 2017St. Paul, MN
- Western Governor's UniversitySep 2019 – Aug 2021Salt Lake City, UT
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2024 – no end date reportedNashville, TN
- Bank of America, N.A.Jan 2025 – no end date reportedNashville, TN
Official records & sources
Data as of August 10, 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. Josiah Lotz 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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