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Vincent Santanna

Chief Operations Officer & FINOP at Merrill Lynch, Pierce, Fenner & Smith

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Vincent Santanna is Chief Operations Officer & FINOP of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a New York investment adviser managing $1.78T. Vincent Santanna has a current broker registration and no current investment-adviser registration and has passed the Series 99, SIE and Series 27.

Role at Merrill Lynch, Pierce, Fenner & Smith

Title on Schedule A
Chief Operations Officer & FINOP
Control
Vincent Santanna is not a control person of Merrill Lynch, Pierce, Fenner & Smith.
Ownership
An individual ownership band is not available in the source record.
Tenure
Vincent Santanna has held the filed role since March 2025.

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

Firms and exams, newest first
  1. Passed Series 27 · 2025
  2. Passed SIE · 2018
  3. Passed Series 99 · 2012

Registrations and exams

Broker registration; no current adviser registration. Vincent Santanna has passed 3 qualifying exams.

Examinations

Series 2724 February 2025
Name
Financial and Operations Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 9926 June 2012
Name
Operations Professional Examination

Individual record

Full name
Vincent C. Santanna
CRD
5290525
Firm
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Registration status
Broker registration; no current adviser registration

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 Vincent Santanna work?

Vincent Santanna has been Chief Operations Officer & FINOP of Merrill Lynch, Pierce, Fenner & Smith Incorporated since March 2025.

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

Does Vincent Santanna have a current investment-adviser registration?

Vincent Santanna has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Vincent Santanna passed?

Vincent Santanna has passed 3 licensing exams: the Series 99, SIE and Series 27. The earliest, the Series 99, was passed in June 2012.

Source: IAPD individual record, checked 18 October 2026

Leadership at Merrill Lynch, Pierce, Fenner & Smith

Sources

  1. IAPD individual record, CRD 5290525. Registration status, employment history and examinations.
  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 Vincent Santanna 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.