Nancy R Herlihy

CRD 1285916 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Dover, DE

IA RegisteredBroker

Also appears in the source record as: Nancy Rogers Herlihy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 24Series 57TOSIESeries 55Series 3Series 7
Registered states (36): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Maine · Maryland · Massachusetts · Michigan · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 42
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 (18)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dover, DE · IA capacity

Nov 14, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dover, DE · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Mar 4, 2008 → Jun 23, 2010
Linsco/Private Ledger Corp.
BD capacity

Jul 31, 2006 → Nov 13, 2007
Linsco/Private Ledger Corp.
IA capacity

Jul 31, 2006 → Nov 13, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Aug 3, 2004 → May 19, 2006
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Aug 3, 2004 → May 19, 2006
Commerce Capital Markets, Inc.
IA capacity

Dec 12, 2003 → Jul 23, 2004
Commerce Capital Markets, Inc.
BD capacity

Jun 25, 2003 → Jul 23, 2004
Waddell & Reed, Inc.
BD capacity

Dec 19, 2002 → Mar 14, 2003
Spear, Leeds & Kellogg, L.P.
BD capacity

Jul 2, 1998 → Mar 12, 2002
Pershing Trading Company, L.P.
BD capacity

Jan 3, 1995 → Jun 23, 1998
Donaldson, Lufkin & Jenrette Securities Corporation
BD capacity

May 12, 1994 → Jan 3, 1995
Robb Peck Mccooey Clearing Corporation
BD capacity

Jan 29, 1992 → Apr 11, 1994
Northwestern Mutual Investment Services, Inc.
BD capacity

Dec 17, 1991 → Feb 19, 1992
Fenchurch Securities, Inc.
BD capacity

Feb 12, 1990 → Feb 1, 1991
Prudential-Bache Securities Inc.
BD capacity

Jun 20, 1986 → Nov 16, 1989
Q & R Clearing Corporation
BD capacity

Jul 26, 1984 → Dec 7, 1984

Source & corrections

Where this page comes from

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