Sarah M Wisniewski

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (10)

Series 99TOSeries 52TOSIESeries 7Series 14Series 53Series 4Series 24Series 65Series 63

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

26

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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

  Los Angeles, CA · IA capacity
  Jan 10, 2025 → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Los Angeles, CA · BC capacity
  Jan 10, 2025 → present
• The Oak Ridge Financial Services Group, Inc

  Playa Del Rey, CA · IA capacity
  Mar 31, 2023 → Dec 16, 2024
• The Oak Ridge Financial Services Group, Inc.

  Golden Valley, MN · BC capacity
  Mar 31, 2023 → Dec 16, 2024
• Westpark Capital, Inc.

  Los Angeles, CA · IA capacity
  Jun 5, 2018 → Mar 30, 2023
• Westpark Capital, Inc.

  Los Angeles, CA · BC capacity
  Jun 5, 2018 → Mar 30, 2023
• Northstar Securities, LLC

  Greenwood Village, CO · BC capacity
  Feb 16, 2017 → May 8, 2017
• National Planning Corporation ("npc Of America" In Fl & Ny)

  El Segundo, CA · IA capacity
  Dec 5, 2012 → Dec 15, 2015
• National Planning Corporation

  El Segundo, CA · BC capacity
  Dec 4, 2012 → Dec 15, 2015
• Strategic Wealth Advisors Group

  San Mateo, CA · IA capacity
  Dec 7, 2010 → Feb 27, 2012
• Lpl Financial LLC

  San Mateo, CA · BC capacity
  Sep 8, 2009 → Jan 28, 2012
• Associated Planners Investment Advisory Inc

  Boston, MA · IA capacity
  Nov 14, 2008 → Oct 1, 2009
• Associated Securities Corp.

  San Francisco, CA · BC capacity
  Nov 3, 2008 → Sep 8, 2009
• Aig Financial Advisors, Inc.

  Minneapolis, MN · BC capacity
  May 8, 2006 → Nov 7, 2008
• American General Securities Incorporated

  Phoenix, AZ · BC capacity
  Feb 1, 2008 → Oct 29, 2008
• Ids Life Insurance Company

  Minneapolis, MN · BC capacity
  Jul 8, 2004 → Apr 20, 2006
• Ameriprise Financial Services, Inc.

  Minneapolis, MN · BC capacity
  Jul 8, 2004 → Apr 20, 2006
• Washington Square Securities, Inc.

  Windsor, CT · BC capacity
  Mar 5, 2001 → Dec 31, 2003
• U.S. Bancorp Piper Jaffray Inc.

  Minneapolis, MN · BC capacity
  May 1, 1997 → Dec 23, 1999
• Dain Bosworth Incorporated

  BC capacity
  Jul 1, 1996 → May 9, 1997

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

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