Elaine Thompson-Perez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

Series 99TOSIESeries 7Series 6Series 65Series 63

Registered states (36)

Alabama · Arizona · Arkansas · California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Iowa · Kansas · Louisiana · Maine · Maryland · Massachusetts · Mississippi · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin

Years in the industry (source record)

14

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (21)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  New York, NY · IA capacity
  start not retrieved → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  New York, NY · BC capacity
  start not retrieved → present
• Voya Retirement Advisors, LLC

  New York, NY · IA capacity
  Jan 6, 2025 → Feb 19, 2025
• Voya Financial Partners, LLC

  New York, NY · BC capacity
  Jan 3, 2025 → Feb 19, 2025
• Mml Investors Services, LLC

  New York, NY · IA capacity
  Feb 13, 2024 → Dec 9, 2024
• Mml Investors Services, LLC

  New York, NY · BC capacity
  Nov 30, 2023 → Dec 9, 2024
• Nylife Securities LLC

  New York, NY · BC capacity
  Jun 16, 2023 → Oct 19, 2023
• Morgan Stanley

  New York, NY · IA capacity
  May 26, 2022 → Apr 21, 2023
• Morgan Stanley

  New York, NY · BC capacity
  May 26, 2022 → Apr 21, 2023
• Principal Securities, Inc.

  Walnut Creek, CA · IA capacity
  Sep 20, 2016 → Jan 29, 2018
• Principal Securities, Inc.

  Walnut Creek, CA · BC capacity
  Jul 18, 2016 → Jan 29, 2018
• Axa Advisors, LLC

  Walnut Creek, CA · IA capacity
  Nov 23, 2015 → Jun 1, 2016
• Axa Advisors, LLC

  Walnut Creek, CA · BC capacity
  Nov 20, 2015 → Jun 1, 2016
• Transamerica Financial Advisors, Inc.

  Modesto, CA · IA capacity
  Mar 18, 2015 → Oct 30, 2015
• Transamerica Financial Advisors, Inc

  Modesto, CA · BC capacity
  Mar 18, 2015 → Oct 30, 2015
• Ameritas Investment Corp.

  San Ramon, CA · BC capacity
  Oct 30, 2013 → Feb 27, 2015
• Ameritas Investment Corp

  San Ramon, CA · IA capacity
  Oct 4, 2013 → Feb 27, 2015
• Liberty Group, LLC

  Pleasanton, CA · IA capacity
  Mar 30, 2011 → Oct 12, 2011
• Liberty Group, LLC

  Oakland, CA · BC capacity
  Mar 29, 2011 → Oct 12, 2011
• Metlife Securities Inc.

  Walnut Creek, CA · IA capacity
  Mar 1, 2010 → Mar 10, 2011
• Metlife Securities Inc.

  Walnut Creek, CA · BC capacity
  Nov 30, 2009 → Mar 10, 2011

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.

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