Shawn Darius Farrokh

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

CRD #4929150Investment Adviser Rep

Disclosure(s) on record — verify on FINRA BrokerCheck

Sourced from SEC IAPD & FINRA BrokerCheck

States Registered

29 states

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 29 states

AlabamaArizonaArkansasCaliforniaColoradoConnecticutFloridaGeorgiaIllinoisLouisianaMaineMassachusettsMichiganMissouriNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaSouth CarolinaTennesseeTexasVermontWashingtonWisconsin

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. Shawn Darius Farrokh 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.