Lewis Benjimen Phillips

CRD 2698501 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Oakland, CA

IA RegisteredBroker

Also appears in the source record as: Lewis B Phillips; Lewis Benjamin Phillips

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 (2): California · Massachusetts
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2698501 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 (11)

From the source registration record · current first

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

Feb 15, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Oakland, CA · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
BD capacity

May 29, 2007 → Mar 4, 2013
Citigroup Global Markets Inc.
IA capacity

May 29, 2007 → Mar 4, 2013
Citicorp Investment Services
IA capacity

Nov 25, 2003 → May 29, 2007
Citicorp Investment Services
BD capacity

Jul 8, 2002 → May 29, 2007
Wm Financial Services, Inc.
BD capacity

Apr 25, 2001 → Jul 18, 2002
Thomas F. White & Co., Incorporated
BD capacity

Jan 1, 1999 → Feb 16, 2001
H.J. Meyers & Co., Inc.
BD capacity

Sep 18, 1997 → Oct 5, 1998
Smith Culver Investments
BD capacity

Jul 29, 1997 → Aug 30, 1997
H.J. Meyers & Co., Inc.
BD capacity

May 8, 1996 → Jul 29, 1997

Source & corrections

Where this page comes from

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