Dianne King Zipp

CRD 2237203 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Dianne C King; Dianne Christine King; Dianne Christine Zipp

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 24SIESeries 7
Registered states (2): New Jersey · New York
Years in the industry (source record): 34
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
New York, NY · IA capacity

Sep 16, 2014 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Jul 10, 2009 → Oct 23, 2009
Banc Of America Investment Services, Inc.
BD capacity

Dec 15, 2008 → Apr 3, 2009
Columbia Management Distributors, Inc.
BD capacity

Jan 11, 2008 → Dec 31, 2008
Ust Securities Corp.
BD capacity

Aug 12, 2008 → Dec 24, 2008
Gam Services, Inc.
BD capacity

Oct 4, 1995 → Jan 2, 2008
Salomon Brothers Inc.
BD capacity

Feb 27, 1995 → Sep 20, 1995
Smith Barney Inc.
BD capacity

Jul 31, 1993 → Feb 13, 1995
Lehman Brothers Inc.
BD capacity

Aug 17, 1992 → Jul 31, 1993

Source & corrections

Where this page comes from

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