Colleen S Harris

CRD 2934693 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Jose, CA

IA RegisteredBroker

Also appears in the source record as: Colleen Siebert Haines; Colleen Siebert Harris; Colleen Siebert

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 63Series 65Series 9Series 10SIESeries 31Series 3Series 7
Registered states (53): 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 · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
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 (6)

From the source registration record · current first

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

Apr 8, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Jose, CA · BC capacity

start not retrieved → present
Park Avenue Securities LLC
IA capacity

May 5, 2006 → Mar 22, 2013
Park Avenue Securities LLC
BD capacity

Mar 22, 2006 → Mar 22, 2013
Morgan Stanley
IA capacity

Aug 24, 1998 → Jan 10, 2006
Morgan Stanley Dw Inc.
BD capacity

Sep 12, 1997 → Jan 10, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2934693 ↗ FINRA BrokerCheck record for CRD 2934693 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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