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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Rico Otway

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

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Search this name across graphsid dfx:ria:7f05b0aa-c1c9-22dc-fd54-b26b632b6e28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 2, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 12, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 5
Exams: S63|S65
First exam: Sep 12, 2014
First registration: Feb 2, 2015
Dual registered: yes, broker-dealer
Other names: Rico A Otway|Rico Otway|RICO A OTWAY|Rico Anthony Otway|Rico Antonio Otway
IAPD individual key: 6358974

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 19, 2025	n/a	yes	NEW YORK, NY\|NEW YORK, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 20, 2021	Mar 24, 2025	no	WEEHAWKEN, NJ	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Oct 22, 2020	Jul 20, 2021	no	New York, NY\|New York, NY\|ARLINGTON, VA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 15, 2019	Nov 19, 2020	no	Forest Hills, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 6, 2019	Nov 19, 2020	no	Forest Hills, NY	Previous registration
UNFCU ADVISORS LLC	Other adviser	Jul 31, 2018	Jan 22, 2019	no	New York, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 28, 2017	May 1, 2018	no	NEW YORK, NY\|New York, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 14, 2016	Jul 21, 2017	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 2, 2015	Apr 8, 2016	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 24, 2025	Mar 19, 2025	-5	Firm change	Wirehouse to wirehouse
E*TRADE CAPITAL MANAGEMENT, LLC	UBS FINANCIAL SERVICES INC.	Jul 20, 2021	Jul 20, 2021	0	Firm change	RIA to wirehouse
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 19, 2020	Feb 15, 2019	-643	Channel change	Other
TD AMERITRADE, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Nov 19, 2020	Oct 22, 2020	-28	Firm change	Other
UNFCU ADVISORS LLC	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 22, 2019	Feb 6, 2019	15	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	UNFCU ADVISORS LLC	May 1, 2018	Jul 31, 2018	91	Firm change	Other
J.P. MORGAN SECURITIES LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 21, 2017	Jul 28, 2017	7	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Apr 8, 2016	Apr 14, 2016	6	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:7691:NJ:2025-03-10	Mar 24, 2025	Mar 19, 2025	WEEHAWKEN, NJ	Firm change
111514:7870:NY:2020-11-19	Nov 19, 2020	Feb 15, 2019	FOREST HILLS, NY	Firm change after gap
149018:136572:NY:2018-05-01	May 1, 2018	Jul 31, 2018	NEW YORK, NY	Firm change
7691:79:NY:2016-03-29	Apr 8, 2016	Apr 14, 2016	NEW YORK, NY	Firm change

Relationships

Registered with (8)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 2, 2015 to Apr 8, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 20, 2021 to Mar 24, 2025factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 22, 2020 to Jul 20, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 15, 2019 to Nov 19, 2020factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 6, 2019 to Nov 19, 2020factForm ADV
→ UNFCU ADVISORS LLCRegistered adviserregistration: previous registration
Jul 31, 2018 to Jan 22, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jul 28, 2017 to May 1, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 14, 2016 to Jul 21, 2017factForm ADV

Dated events

Occurred
Mar 24, 2025
Advisor changed firm
Rico Otway left Ubs Financial Services Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-03-19)
Form ADVobserved 6 days ago