Lisa Thibeault Margeson

CRD 1303956 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boston, MA

IA RegisteredBroker

Also appears in the source record as: Lisa Jody Margeson; Lisa Margeson; Lisa Jody Thibeault

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 24SIESeries 7
Registered states (51): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boston, MA · IA capacity

Aug 22, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boston, MA · BC capacity

start not retrieved → present
Ing Investment Advisors, LLC
BD capacity

Jan 14, 2002 → Dec 22, 2010
State Street Capital Markets, LLC
BD capacity

Jun 3, 1997 → Dec 31, 2001
Fidelity Investments Institutional Services Company, Inc.
BD capacity

Jan 2, 1991 → Jun 15, 1995
Fidelity Distributors Corporation
BD capacity

Feb 11, 1987 → Dec 31, 1990
Capital Investors
BD capacity

Oct 16, 1984 → Sep 8, 1986

Source & corrections

Where this page comes from

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