Nancy Anne Lyons

CRD 2669421 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chester, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 63Series 52TOSIESeries 7
Registered states (41): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia
Years in the industry (source record): 31
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chester, NJ · IA capacity

Jan 26, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chester, NJ · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Nov 7, 2006 → Jan 19, 2016
Ubs Financial Services Inc.
IA capacity

Nov 7, 2006 → Jan 19, 2016
Morgan Stanley Dw Inc.
BD capacity

May 9, 2003 → Oct 17, 2006
Morgan Stanley
IA capacity

May 9, 2003 → Oct 17, 2006
Prudential Securities Incorporated
IA capacity

Jun 20, 2002 → May 14, 2003
Prudential Securities Incorporated
BD capacity

Oct 14, 1999 → May 14, 2003
Painewebber Incorporated
BD capacity

May 15, 1997 → Oct 18, 1999
First Montauk Securities Corp.
BD capacity

Apr 11, 1997 → May 6, 1997
Painewebber Incorporated
BD capacity

Nov 7, 1995 → Apr 21, 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.

SEC IAPD record for CRD 2669421 ↗ FINRA BrokerCheck record for CRD 2669421 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.