Rishi Thakur
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.
Rishi Thakur is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY, where they have been registered since 2023. They have worked in the securities industry since 2021 and have been registered with 3 firms, including UBS Financial Services Inc. and Cetera Advisor Networks LLC. They have passed 4 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 New York and Texas.
Office
Advisors at this office: 336
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York, Texas
- Broker:
17 states and territories
California, Connecticut, Delaware, District of Columbia, Florida, Maine, Maryland, Massachusetts, Mississippi, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, Vermont
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.
- RBC Wealth ManagementJul 2016 – Aug 2017Watertown, NY
- Bed Bath & BeyondFeb 2019 – Mar 2020Union, NJ
- IE Business SchoolAug 2017 – Jun 2018Madrid
- United Windows and DoorsAug 2018 – Feb 2019Springfield, NJ
- UnemployedJun 2018 – Aug 2018Potsdam, NY
- Mccollum Financial ServicesAug 2020 – Aug 2021Gouverneur, NY
- St. Lawrence PulmonologyMar 2020 – Aug 2020Potsdam, NY
- Cetera Advisor NetworksSep 2020 – Aug 2021El Segundo, CA
- UBS Financial Services Inc.Sep 2021 – May 2023Weehawken, NJ
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2023 – no end date reportedNew York, NY
- John's Hopkins UniversityJan 2021 – no end date reportedBaltimore, MD
- Bank of America, N.A.Jul 2023 – no end date reportedNew York, NY
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. Rishi Thakur 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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