Amy M Simon

CRD 2565506 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Amy Marie Simon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 10Series 9SIESeries 7
Registered states (39): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kentucky · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2565506 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 (14)

From the source registration record · current first

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

Apr 10, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

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

Apr 19, 2016 → Feb 27, 2018
Wells Fargo Clearing Services, LLC
IA capacity

Apr 19, 2016 → Feb 27, 2018
Wells Fargo Advisors, LLC
BD capacity

Sep 14, 2015 → Mar 10, 2016
Wells Fargo Advisors, LLC
IA capacity

Sep 9, 2015 → Mar 10, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jul 7, 2006 → Aug 4, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Jul 7, 2006 → Aug 4, 2015
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Mar 6, 2006 → May 11, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 6, 2005 → May 11, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 14, 2004 → Aug 19, 2005
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Oct 7, 2004
Prudential Securities Incorporated
BD capacity

Jun 17, 2003 → Jul 1, 2003
Ubs Painewebber Inc.
BD capacity

May 5, 1998 → Jul 16, 2002

Source & corrections

Where this page comes from

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