AdFi
RD

Raphael Derek Hochberg

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

Pennington, NJCRD #2392499Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
53 states
Exams Passed
6

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 12/8/2022
Series 63
Uniform Securities Agent State Law Examination
Passed 9/22/1993
Series 57
Securities Trader Exam
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 2/8/1999
Series 7
General Securities Representative Examination
Passed 9/9/1993

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
12/9/2022Pennington, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
11/21/2022Livingston, NJ
ICAP CORPORATES LLC
11/12/20214/7/2022Edison, NJ
MAXIM GROUP LLC
3/6/20175/11/2021New York, NY
THE VERTICAL GROUP
1/8/20133/21/2017Red Bank, NJ
SARATOGA CAPITAL MARKETS
9/10/200912/21/2012New York, NY
JNK SECURITIES CORP.
12/19/20018/28/2009New York, NY
ABEL/NOSER CORP.
2/29/200010/8/2001New York, NY
ON-SITE TRADING, INC.
12/10/199811/1/1999Great Neck, NY
TUCKER ANTHONY INCORPORATED
9/15/199710/30/1998Boston, MA
SMITH BARNEY INC.
9/10/19939/19/1997New York, NY

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. Raphael Derek Hochberg 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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