Leslie Robin Berkowitz

CRD 2988665 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Leslie Fein Berkowitz; Leslie R. Berkowitz; Leslie Berkowitz; Leslie R Fein; Leslie Fein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 31Series 7Series 66
Registered states (4): Connecticut · New Jersey · New York · Texas
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
New York, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
New York, NY · IA capacity

Oct 1, 2012 → Dec 19, 2018
J.P. Morgan Securities LLC
New York, NY · BC capacity

Oct 1, 2012 → Dec 19, 2018
Chase Investment Services Corp.
New York, NY · IA capacity

Sep 28, 2012 → Oct 1, 2012
Chase Investment Services Corp.
New York, NY · BC capacity

Sep 5, 2012 → Oct 1, 2012
Palisade Capital Management LLC
Fort Lee, NJ · IA capacity

Jul 21, 2009 → Jun 11, 2010
Citigroup Global Markets Inc.
New York, NY · BC capacity

Jan 28, 2002 → Mar 19, 2009
Citicorp Investment Services
Long Island City, NY · BC capacity

Feb 12, 1998 → Jan 18, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2988665 ↗ FINRA BrokerCheck record for CRD 2988665 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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