Ray Xuan Diao
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 yearsExperience
2 statesRegistered 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
12 years in the industry.
- Bank of America, N.A.Mar 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2024 to now
- Wells Fargo Bank, NAMay 2022 to Jan 2024
- Wells Fargo Clearing Services, LLCMay 2022 to Jan 2024
- J.P. Morgan Securities LLCMay 2019 to May 2022
- JPMorgan Chase Bank, N.A.May 2019 to May 2022
- Pruco Securities LLCSep 2018 to Apr 2019
- The Prudential Insurance Company of AmericaSep 2018 to Apr 2019
- TD BankOct 2017 to Oct 2018
- Amazon LogisticsAug 2017 to Oct 2017
- Tcnj Aquatic CenterMar 2016 to May 2017
- The College of New JerseyAug 2014 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2018
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (NJ, TX).
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
- 7015171
- Firm CRD
- 7691