Lisa Fleischer Somlo

CRD 1932536 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Northbrook, IL

IA RegisteredBroker

Also appears in the source record as: Lisa Susan Fleischer; Lisa Fleischer; Lisa S Fleischer; Lisa S Fleischer Somlo; Lisa Susan Fleischer Somlo; Lisa Fleischer Somlo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 63Series 65SIESeries 7Series 3
Registered states (41): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 37
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 (10)

From the source registration record · current first

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

Jun 2, 2026 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · BC capacity

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

Aug 16, 2023 → May 18, 2026
Wells Fargo Advisors
IA capacity

Aug 16, 2023 → May 18, 2026
J.P. Morgan Securities LLC
BD capacity

Jul 30, 2018 → Aug 6, 2023
J.P. Morgan Securities LLC
IA capacity

Jul 30, 2018 → Aug 6, 2023
Northwestern Mutual Investment Services, LLC
BD capacity

Apr 26, 2016 → Apr 21, 2017
Northwestern Mutual Investment Services,llc
IA capacity

Mar 31, 2016 → Apr 21, 2017
Coe Capital Management, LLC
IA capacity

May 20, 2014 → Nov 20, 2015
Discount Corporation Of New York Futures
BD capacity

Jul 18, 1989 → Nov 6, 1991

Source & corrections

Where this page comes from

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