Richard Walter Smalley

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

CRD #1322164Investment Adviser Rep

Disclosure(s) on record — verify on FINRA BrokerCheck

Sourced from SEC IAPD & FINRA BrokerCheck

States Registered

30 states

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 30 states

ArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIllinoisIndianaKentuckyLouisianaMarylandMassachusettsMichiganMinnesotaNew HampshireNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasVirginiaWashingtonWest VirginiaWisconsin

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.

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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. Richard Walter Smalley 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.