Lawrence P De Santis

CRD 1271545 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pasadena, CA

IA RegisteredBroker

Also appears in the source record as: Larry P Desantis; Lawrence Paul Desantis

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 3Series 7
Registered states (16): Arizona · California · Colorado · Florida · Hawaii · Illinois · Louisiana · Michigan · Nevada · New Mexico · Oregon · Tennessee · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1271545 contains one or more disclosure events as of Aug 20, 2026.

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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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pasadena, CA · IA capacity

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pasadena, CA · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Jul 12, 1999 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

May 12, 1998 → Oct 23, 2009
Ba Investment Services, Inc.
BD capacity

Jul 29, 1994 → Jul 12, 1999
Wells Fargo Securities Inc.
BD capacity

Nov 19, 1993 → May 17, 1994
Marketing One Securities, Inc.
BD capacity

Apr 20, 1993 → Nov 19, 1993
Xelan Securities Corporation
BD capacity

Feb 26, 1991 → Oct 2, 1991
Dean Witter Reynolds Inc.
BD capacity

Jul 23, 1985 → Sep 28, 1990
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jun 20, 1984 → Jun 19, 1985

Source & corrections

Where this page comes from

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