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David Carleton Jr Heaton

Chief Legal Officer at Merrill Lynch, Pierce, Fenner & Smith

Officer record from the firm’s Form ADVForm ADV filed 24 September 2026

David Carleton Jr Heaton is Chief Legal Officer of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a New York investment adviser.

Role at Merrill Lynch, Pierce, Fenner & Smith

Title on Schedule A
Chief Legal Officer
Control
David Carleton Jr Heaton is not a control person of Merrill Lynch, Pierce, Fenner & Smith.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Carleton Jr Heaton has held the filed role since May 2019.

The firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY

Form ADV filed 24 September 2026

$1.78T AUM1,838,984 clients25,721 advisers26 offices

Career on record

The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for David Carleton Jr Heaton is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
David Carleton Jr Heaton
CRD
5972432
Firm
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Record basis
Form ADV officer listing

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Carleton Jr Heaton work?

David Carleton Jr Heaton has been Chief Legal Officer of Merrill Lynch, Pierce, Fenner & Smith Incorporated since May 2019.

Source: Form ADV, Schedule A, filed 24 September 2026

Leadership at Merrill Lynch, Pierce, Fenner & Smith

Sources

  1. IAPD individual lookup, CRD 5972432. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of Merrill Lynch, Pierce, Fenner & Smith Incorporated, filed 24 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Carleton Jr Heaton or Merrill Lynch, Pierce, Fenner & Smith Incorporated and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.