Gina Marie Leclair

CRD 1541653 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Providence, RI

IA RegisteredBroker

Also appears in the source record as: Gina Marie Cayer; Gina M Zeppetella

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 10Series 9Series 24Series 8SIESeries 7
Registered states (23): Arizona · California · Colorado · Connecticut · Florida · Georgia · Illinois · Maine · Maryland · Massachusetts · Michigan · Mississippi · Nevada · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · South Carolina · Texas · Virginia · Washington
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Providence, RI · IA capacity

Aug 14, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Providence, RI · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Nov 15, 2005 → Aug 26, 2009
Ubs Financial Services Inc.
IA capacity

Nov 15, 2005 → Aug 26, 2009
Legg Mason Wood Walker Inc
IA capacity

Jan 1, 2000 → Aug 18, 2005
Legg Mason Wood Walker, Incorporated
BD capacity

Jul 3, 1995 → Aug 18, 2005
Dean Witter Reynolds Inc.
BD capacity

Apr 26, 1991 → Jul 24, 1995
Royal Alliance Associates, Inc.
BD capacity

Jan 1, 1991 → May 2, 1991
Painewebber Incorporated
BD capacity

Aug 21, 1986 → Oct 11, 1990

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1541653 ↗ FINRA BrokerCheck record for CRD 1541653 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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