Joseph John Wathen
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 yearsExperience
1 stateRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 2025 to now
- Ernst & YoungMar 2024 to Nov 2025
- Bank of America, N.A.Feb 2019 to Feb 2024
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 2019 to Feb 2024
- Cetera Investment Advisers LLCJul 2018 to Feb 2019
- Cetera Investment Services LLCJul 2018 to Feb 2019
- First Merchants InvestmentsJul 2018 to Jan 2019
- Trinity Christian CollegeSep 2017 to Feb 2019
- Huntington BankSep 2017 to Jul 2018
- Huntington Investment CompanySep 2017 to Jul 2018
- PNC BankJun 2017 to Aug 2017
- UnemployedApr 2017 to Jun 2017
- PNC BankAug 2016 to Apr 2017
- PNC InvestmentsAug 2016 to Apr 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2015
- Series 65 · Uniform Investment Adviser Law2016
State registrations
Registered as an investment adviser representative in 1 state (IL).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6412732
- Firm CRD
- 7691