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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

Rafael ANGEL Martinez

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ATLANTA, GA | NEWPORT BEACH, CA | Atlanta, GA

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Search this name across graphsid dfx:ria:cd80a028-9f78-3603-6a28-61ecf649fe8f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2003 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: Aug 24, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 24, 1989
First registration: Jan 17, 2003
Dual registered: yes, broker-dealer
Other names: RAFAEL ANGEL MARTINEZ|RALPH MARTINEZ|RAFAEL ANGEL MARTINEZ|RAFAEL ANGEL MARTINEZ|RAFAEL ANGEL MARTINEZ ARRAZOLA
IAPD individual key: 1952672

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	Feb 27, 2020	n/a	yes	NEWPORT BEACH, CA\|ATLANTA, GA\|Atlanta, GA	Current employment
BARCLAYS CAPITAL INC.	Former SEC adviser	Jul 29, 2013	Jul 9, 2014	no	ATLANTA, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 18, 2012	May 22, 2012	no	ALPHARETTA, GA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Sep 6, 2011	no	ATLANTA, GA\|ATLANTA, GA	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
BARCLAYS CAPITAL INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 9, 2014	Feb 27, 2020	2,059	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BARCLAYS CAPITAL INC.	May 22, 2012	Jul 29, 2013	433	Firm change after gap	Other
CREDIT SUISSE SECURITIES (USA) LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 6, 2011	Apr 18, 2012	225	Firm change	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 18, 2012 to May 22, 2012factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jul 29, 2013 to Jul 9, 2014factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Sep 6, 2011factForm ADV

Dated events

No dated event names this entity yet.