Justin S Lumiere

CRD 2875320 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boca Raton, FL

IA RegisteredBroker

Also appears in the source record as: Justin Samuel Lumiere

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 10Series 24SIESeries 87Series 7Series 3
Registered states (28): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Maryland · Massachusetts · Michigan · Minnesota · Montana · New Jersey · New York · North Carolina · Oregon · Pennsylvania · Puerto Rico · South Dakota · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 29
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
Boca Raton, FL · IA capacity

Mar 31, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boca Raton, FL · BC capacity

start not retrieved → present
Maxim Group LLC
BD capacity

May 2, 2013 → Nov 12, 2015
Mkm Partners LLC
BD capacity

Jul 11, 2012 → Apr 4, 2013
Gfi Securities LLC
BD capacity

Sep 8, 2010 → Aug 1, 2012
Summit Securities Group LLC
BD capacity

Oct 21, 2009 → Jul 30, 2010
Icap Corporates LLC
BD capacity

Nov 5, 2007 → Oct 7, 2009
Oscar Gruss & Son, Incorporated
BD capacity

Jan 3, 2006 → Oct 31, 2007
Wako Securities(America), Inc.
BD capacity

Apr 30, 1997 → May 19, 1999

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2875320 ↗ FINRA BrokerCheck record for CRD 2875320 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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