Yvette M M Lippoczy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

SIESeries 55Series 7Series 24Series 66Series 63

Registered states (38)

Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Maine · Maryland · Massachusetts · Michigan · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Vermont · Virginia · Washington · Wisconsin · Wyoming

Years in the industry (source record)

22

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Firm CRD

7691

SEC number

801-14235

Assets under management

$1.8T as of Jun 29, 2026

Website

www.merrilledge.com/GUIDED-INVESTING ↗

Phone

800-637-7455

Firm location

New York, NY, 10036

Employment history (20)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Short Hills, NJ · IA capacity
  start not retrieved → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Short Hills, NJ · BC capacity
  start not retrieved → present
• Cetera Investment Services LLC

  Totowa, NJ · BC capacity
  Oct 14, 2015 → Dec 31, 2016
• Transamerica Financial Advisors, Inc

  Franklin Lakes, NJ · BC capacity
  Jun 12, 2013 → Jun 10, 2014
• Pruco Securities, LLC.

  Iselin, NJ · BC capacity
  Aug 19, 2011 → Nov 4, 2011
• Quest Capital Strategies, Inc.

  Laguna Hills, CA · BC capacity
  Jun 8, 2011 → Aug 17, 2011
• Td Wealth Management Services Inc.

  New York, NY · BC capacity
  Mar 1, 2010 → May 28, 2010
• Chase Investment Services Corp.

  Montclair, NJ · BC capacity
  Jun 23, 2009 → Jul 14, 2009
• E*trade Securities LLC

  Jersey City, NJ · BC capacity
  May 30, 2007 → Jul 6, 2009
• Ifmg Securities, Inc.

  Purchase, NY · BC capacity
  Mar 21, 2007 → Apr 2, 2007
• Lightstone Securities, LLC

  New York, NY · BC capacity
  May 17, 2005 → Aug 29, 2006
• Computershare Securities Corporation

  Chicago, IL · BC capacity
  Oct 31, 2003 → Feb 5, 2004
• Carlin Equities Corp.

  New York, NY · BC capacity
  Mar 6, 2003 → May 6, 2003
• Knight Capital Markets, LLC.

  Purchase, NY · BC capacity
  Apr 2, 1998 → Oct 15, 2001
• Mayer & Schweitzer, Inc.

  Stamford, CT · BC capacity
  Apr 29, 1997 → Feb 19, 1998
• Cantor Fitzgerald & Co.

  New York, NY · BC capacity
  Jun 12, 1996 → Apr 23, 1997
• Janssen-Meyers Associates, L.P.

  New York, NY · BC capacity
  Oct 9, 1995 → May 29, 1996
• Buttonwood Securities, Inc.

  New York, NY · BC capacity
  Apr 11, 1995 → Oct 10, 1995
• Internationale Nederlanden (U.S.) Securities Corporation

  BC capacity
  Jan 18, 1995 → Mar 29, 1995
• Donald & Co. Securities Inc.

  BC capacity
  Apr 19, 1983 → Jun 6, 1983

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.