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Joshua Dean Fired from Merrill Lynch, Pierce, Fenner & Smith

Joshua Dean (CRD #: 5825492), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, was fired from that firm, according to his BrokerCheck record, accessed on May 31, 2025. If you have questions about his alleged conduct as a broker, read on.

Termination from Merrill Lynch, Pierce, Fenner & Smith

On February 17, 2025, Joshua Dean was fired from Merrill Lynch, Pierce, Fenner & Smith for allegedly sharing confidential client information with an outside third party.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Joshua Dean has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66
  • Uniform Securities Agent State Law Examination – Series 63

He has also worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • USAA Investment Services Company (CRD#:5475)
  • USAA Financial Advisors (CRD#:129035)
  • TIAA-CREF Individual & Institutional Services (CRD#:20472)
  • TD Ameritrade (CRD#:7870)
  • Charles Schwab & Company (CRD#:5393)

Kurta Law Can Help

If you worked with Joshua Dean and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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