Vicki Lyn Arnold

CRD 1443629 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Fort Smith, AR

IA RegisteredBroker

Also appears in the source record as: Vicki Arnold; Vicki Lyn Deaton; Vicki Lyn Dixon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 66Series 63Series 9Series 10Series 51Series 8Series 4Series 24SIESeries 3Series 7
Registered states (53): 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 · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · 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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Fort Smith, AR · IA capacity

Jul 13, 2017 → present
Morgan Stanley
BD capacity

Jun 1, 2009 → Jun 28, 2017
Morgan Stanley
IA capacity

Jun 1, 2009 → Jun 28, 2017
Citigroup Global Markets Inc.
IA capacity

Jul 20, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Jul 18, 2007 → Jun 1, 2009
Capital West Securities, Inc.
IA capacity

Mar 29, 2007 → Jul 24, 2007
Capital West Securities, Inc.
BD capacity

Jun 1, 1995 → Jul 24, 2007
Stifel, Nicolaus & Company, Incorporated
BD capacity

Oct 13, 1987 → Jun 1, 1995
Charles Schwab & Co., Inc.
BD capacity

Apr 24, 1987 → Oct 10, 1987
United Securities Brokers, Inc.
BD capacity

Feb 24, 1986 → Apr 7, 1987

Source & corrections

Where this page comes from

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