Karen Warner Lemay

CRD 1826413 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Stuart, FL

IA RegisteredBroker

Also appears in the source record as: Karen Warner Dimmock; Karen Lemay; Karen Marie Warner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 63Series 10Series 9Series 24SIESeries 7
Registered states (38): Alabama · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 29
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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Stuart, FL · IA capacity

Jun 30, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Stuart, FL · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
IA capacity

Aug 12, 2013 → Jul 6, 2017
Wells Fargo Clearing Services, LLC
BD capacity

Aug 9, 2013 → Jul 6, 2017
Pnc Investments
IA capacity

Jul 26, 2011 → Aug 13, 2013
Pnc Investments
BD capacity

Jun 29, 2011 → Aug 13, 2013
Weiss Capital Management, Inc.
IA capacity

Aug 2, 2010 → Feb 3, 2011
Weiss Capital Securities, Inc.
BD capacity

Jul 7, 2010 → Jan 19, 2011
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Oct 8, 2009
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Oct 8, 2009
Citigroup Global Markets Inc.
BD capacity

Nov 21, 2001 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Nov 21, 2001 → Jun 1, 2009
First Union Securities, Inc.
BD capacity

Oct 1, 2000 → Nov 15, 2001
First Union Brokerage Services, Inc.
BD capacity

Oct 14, 1997 → Oct 1, 2000
Mutual Service Corporation
BD capacity

Jan 20, 1997 → Sep 15, 1997

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1826413 ↗ FINRA BrokerCheck record for CRD 1826413 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.