Sandra Dee

CRD 1915614 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Carmel, CA

IA RegisteredBroker

Also appears in the source record as: Sandra Dee Heffington; Sandra Heffington; Sandra Dee Yedlicka; Sandy Yedlicka; Sandra Yedlicka

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 24Series 65Series 63
Registered states (18): California · Colorado · Connecticut · Florida · Georgia · Illinois · Louisiana · Massachusetts · Nevada · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Washington
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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Carmel, CA · IA capacity

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

start not retrieved → present
Ubs Financial Services Inc.
Carmel, CA · IA capacity

Mar 12, 2012 → Jun 15, 2018
Ubs Financial Services Inc.
Carmel, CA · BC capacity

Mar 9, 2012 → Jun 15, 2018
Wells Fargo Advisors Financial Network, LLC
San Jose, CA · IA capacity

Jan 12, 2012 → Feb 21, 2012
Wells Fargo Advisors Financial Network, LLC
San Jose, CA · BC capacity

Jan 11, 2012 → Feb 21, 2012
Chase Investment Services Corp.
Marina, CA · BC capacity

Jun 1, 2010 → Feb 16, 2011
Chase Investment Services Corp.
Marina, CA · IA capacity

May 27, 2010 → Feb 16, 2011
Morgan Stanley & Co. Incorporated
Monterey, CA · IA capacity

Aug 28, 2008 → Mar 24, 2009
Morgan Stanley & Co. Incorporated
Monterey, CA · BC capacity

Apr 2, 2008 → Mar 24, 2009
E*trade Securities LLC
Carmel, CA · BC capacity

Jul 18, 2005 → Apr 17, 2008
Wachovia Securities, LLC
Carmel, CA · IA capacity

Oct 28, 2004 → Jul 15, 2005
Wachovia Securities, LLC
St. Louis, MO · BC capacity

Jun 22, 2001 → Jul 15, 2005
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

Jun 20, 1989 → Mar 1, 1994

Source & corrections

Where this page comes from

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