Susan Lyle

CRD 1980360 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Napa, CA

IA RegisteredBroker

Also appears in the source record as: Susan Lyle Campbell; Susan Campbell; Susan L Campbell; Susan Kerby; Susan Lyle Lyle

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (18): Arizona · California · Colorado · Delaware · Florida · Idaho · Illinois · Iowa · Nevada · New Jersey · New York · Oklahoma · Oregon · South Carolina · Tennessee · Texas · Washington · West Virginia
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1980360 contains one or more disclosure events as of Aug 20, 2026.

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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 (20)

From the source registration record · current first

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

Oct 29, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Napa, CA · BC capacity

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

Apr 10, 2015 → Nov 5, 2021
Wells Fargo Clearing Services, LLC
IA capacity

Apr 10, 2015 → Nov 5, 2021
Sorrento Pacific Financial, LLC
BD capacity

May 18, 2011 → Apr 10, 2015
Sorrento Pacific Financial, LLC
IA capacity

May 18, 2011 → Apr 10, 2015
Uvest Financial Services Group, Inc.
IA capacity

Jul 10, 2006 → May 23, 2011
Uvest Financial Services Group, Inc.
BD capacity

Jul 5, 2006 → May 23, 2011
Wm Financial Services, Inc.
IA capacity

Feb 8, 2006 → Jul 10, 2006
Wm Financial Services, Inc.
BD capacity

Nov 8, 2001 → Jul 10, 2006
Prime Capital Services, Inc.
BD capacity

Dec 11, 2000 → Nov 14, 2001
J. B. Hanauer & Co.
BD capacity

Nov 3, 1999 → Dec 18, 2000
Banc Of America Investment Services, Inc.
BD capacity

Apr 1, 1998 → Nov 11, 1999
Barnett Investments, Inc.
BD capacity

Mar 11, 1998 → Apr 1, 1998
Barnett Investments, Inc.
BD capacity

Feb 21, 1995 → Apr 1, 1998
Compulife Investor Services, Inc.
BD capacity

Jul 28, 1994 → Mar 3, 1995
Glenfed Brokerage Services
BD capacity

Sep 2, 1993 → Jul 15, 1994
First Union Brokerage Services, Inc.
BD capacity

Oct 22, 1992 → Sep 10, 1993
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 20, 1992 → Oct 21, 1992
Dean Witter Reynolds Inc.
BD capacity

Sep 25, 1989 → Dec 10, 1990

Source & corrections

Where this page comes from

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