John Anthony Lacey

CRD 1370744 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Birmingham, AL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (21): Alabama · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Illinois · Louisiana · Maryland · Massachusetts · Michigan · Mississippi · New Jersey · New York · North Carolina · Pennsylvania · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 41
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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Birmingham, AL · IA capacity

Apr 28, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Birmingham, AL · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Apr 30, 2010
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Apr 30, 2010
Morgan Stanley & Co. Incorporated
BD capacity

Jul 11, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Jul 11, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Jan 2, 2002 → Jul 24, 2007
Citigroup Global Markets Inc.
IA capacity

Jan 2, 2002 → Jul 24, 2007
The Robinson-Humphrey Company, LLC
BD capacity

Sep 24, 1993 → Jan 2, 2002
Prudential Securities Incorporated
BD capacity

Apr 24, 1986 → Sep 28, 1993
J.C. Bradford & Co.
BD capacity

Jul 31, 1985 → Jun 14, 1986
North American Investment Corp.
BD capacity

Jun 18, 1985 → Aug 12, 1985

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1370744 ↗ FINRA BrokerCheck record for CRD 1370744 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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