Ralph L Anderson

CRD 1378037 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Birmingham, AL

IA RegisteredBroker

Also appears in the source record as: Lee Leland Anderson III; Lee Anderson III; Lee Anderson; Ralph Lee Anderson III; Ralph Leland Anderson III

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 31Series 3Series 7
Registered states (18): Alabama · Arkansas · California · Delaware · Florida · Georgia · Louisiana · Maine · Maryland · Mississippi · New York · North Carolina · Ohio · South Carolina · Tennessee · Texas · Virginia · Wisconsin
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 (11)

From the source registration record · current first

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

Jan 31, 2003 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Birmingham, AL · BC capacity

start not retrieved → present
Legg Mason Wood Walker Inc
IA capacity

Feb 3, 1998 → Feb 14, 2003
Legg Mason Wood Walker, Incorporated
BD capacity

Sep 8, 1997 → Feb 14, 2003
J.C. Bradford & Co.
BD capacity

Jan 31, 1994 → Sep 15, 1997
The Lincoln National Life Insurance Company
BD capacity

Dec 15, 1992 → Feb 16, 1994
Lincoln Financial Advisors Corporation
BD capacity

Dec 15, 1992 → Feb 16, 1994
Morgan Keegan & Company, Inc.
BD capacity

Jun 4, 1991 → Jan 13, 1992
Regions Investment Company, Inc.
BD capacity

Dec 14, 1990 → Jun 6, 1991
Lehman Brothers Inc.
BD capacity

May 14, 1988 → Nov 1, 1990
E. F. Hutton & Company Inc
BD capacity

Jun 18, 1985 → May 14, 1988

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1378037 ↗ FINRA BrokerCheck record for CRD 1378037 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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