William Lindquist

CRD 1357534 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Sioux Falls, SD

IA RegisteredBroker

Also appears in the source record as: William E Lindquist; William Edward Lindquist

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 10Series 9Series 24Series 53SIESeries 7Series 52
Registered states (28): Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Minnesota · Missouri · Nebraska · Nevada · New Mexico · New York · North Carolina · North Dakota · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Dakota · Tennessee · Texas · Washington · Wisconsin · Wyoming
Years in the industry (source record): 40
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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sioux Falls, SD · IA capacity

Dec 15, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sioux Falls, SD · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
IA capacity

May 2, 2006 → Dec 14, 2010
Wells Fargo Investments, LLC
BD capacity

Dec 13, 2000 → Dec 14, 2010
Wells Fargo Brokerage Services, L.L.C.
BD capacity

May 17, 2001 → Dec 31, 2003
Wells Fargo Brokerage Services, L.L.C.
BD capacity

Jan 24, 1986 → Dec 13, 2000

Source & corrections

Where this page comes from

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