Carolyn Lewis Westerberg

CRD 1335327 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Greenwich, CT

IA RegisteredBroker

Also appears in the source record as: Carolyn Suzanne Lewis; Carolyn Suzanne Lewis-Westerberg

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 24Series 65Series 63
Registered states (1): Connecticut
Years in the industry (source record): 33
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
Greenwich, CT · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwich, CT · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
Greenwich, CT · BC capacity

Sep 3, 2010 → Jul 14, 2015
Harborside Securities, LLC
New York, NY · BC capacity

Oct 31, 2003 → Feb 3, 2004
Abn Amro Incorporated
Stamford, CT · BC capacity

Mar 30, 1999 → Mar 4, 2002
Abn Amro Securities LLC
New York, NY · BC capacity

May 14, 2001 → Mar 1, 2002
Paribas Corporation
New York, NY · BC capacity

Oct 6, 1992 → Mar 17, 1999
Cs First Boston Corporation
New York, NY · BC capacity

Jun 15, 1987 → Oct 6, 1992
Shearson Lehman Brothers Inc.
BC capacity

Jan 23, 1985 → Jun 9, 1987

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1335327 ↗ FINRA BrokerCheck record for CRD 1335327 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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