AdFi
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Peter Henriques

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Las Vegas, NVCRD #5014926Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
53 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/14/2005
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 10/21/2005
Series 7
General Securities Representative Examination
Passed 9/29/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/7/2021Las Vegas, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
5/5/20207/28/2021Henderson, NV
CHARLES SCHWAB & CO., INC.
2/25/20155/8/2020Honolulu, HI
WELLS FARGO ADVISORS, LLC
12/23/20132/9/2015Honolulu, HI
VALIC FINANCIAL ADVISORS, INC.
5/21/20131/9/2014Honolulu, HI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
9/27/20074/9/2013Honolulu, HI
MORGAN STANLEY & CO., INCORPORATED
4/2/200710/2/2007Honolulu, HI
MORGAN STANLEY
10/17/20054/2/2007Honolulu, HI

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Peter Henriques 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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