Brian Carlton Lighty

CRD 2856997 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (51): 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 · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 27
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 (9)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

start not retrieved → present
Icma-Rc Services, LLC
Washington, DC · BC capacity

Nov 20, 2017 → Mar 23, 2020
Lincoln Financial Distributors, Inc.
Radnor, PA · BC capacity

Nov 27, 2013 → Oct 30, 2017
Ing Financial Partners, Inc.
Chicago, IL · BC capacity

Feb 16, 2012 → Nov 18, 2013
Ing Financial Advisers, LLC
Windsor, CT · BC capacity

Apr 20, 2011 → Nov 18, 2013
Columbia Management Investment Advisers, LLC
Boston, MA · IA capacity

Feb 2, 2011 → Apr 27, 2011
Columbia Management Investment Distributors, Inc.
Boston, MA · BC capacity

Feb 27, 2008 → Apr 13, 2011
Putnam Retail Management Limited Partnership
Boston, MA · BC capacity

Dec 7, 1998 → Feb 19, 2008

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 2856997 ↗ FINRA BrokerCheck record for CRD 2856997 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. 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.