Jane Ann Passy

CRD 1160272 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Northbrook, IL

IA RegisteredBroker

Also appears in the source record as: Jane Passy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 72SIESeries 7
Registered states (16): Arizona · California · Colorado · Florida · Illinois · Kentucky · Maryland · Michigan · Mississippi · New Jersey · New York · North Carolina · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · IA capacity

Apr 12, 1998 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · BC capacity

start not retrieved → present
Bt Alex. Brown Incorporated
BD capacity

Sep 1, 1997 → Oct 9, 1997
Alex. Brown & Sons Incorporated
BD capacity

Aug 2, 1994 → Sep 1, 1997
Essex National Securities, Inc.
BD capacity

May 27, 1992 → Sep 10, 1994
Abn Amro Investment Services, Inc.
BD capacity

Sep 26, 1989 → Aug 1, 1994
Corestates Securities Corp
BD capacity

May 30, 1986 → Jul 6, 1988
Dean Witter Reynolds Inc.
BD capacity

May 14, 1984 → Jan 18, 1985
A.G. Becker Paribas Incorporated
BD capacity

Nov 23, 1983 → Apr 3, 1984

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1160272 ↗ FINRA BrokerCheck record for CRD 1160272 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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