Ann Bettendorf Freeman

CRD 1876786 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Ann Marie Bettendorf

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (27): Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Illinois · Indiana · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nebraska · New Jersey · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · Tennessee · Texas · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 35
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

start not retrieved → present
Morgan Stanley
Columbus, OH · IA capacity

Sep 30, 2014 → Sep 22, 2023
Morgan Stanley
Columbus, OH · BC capacity

Aug 15, 2014 → Sep 22, 2023
The Buckingham Research Group Incorporated
Chicago, IL · BC capacity

Apr 2, 2009 → Apr 22, 2014
Barclays Capital Inc.
Chicago, IL · BC capacity

Sep 22, 2008 → Jan 27, 2009
Lehman Brothers Inc.
Chicago, IL · BC capacity

Jul 7, 1992 → Sep 22, 2008
Prudential Securities Incorporated
New York, NY · BC capacity

Dec 21, 1989 → May 23, 1991

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1876786 ↗ FINRA BrokerCheck record for CRD 1876786 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

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