Heather Holland Swindells

CRD 3251634 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

Broker

Also appears in the source record as: Heather J Holland; Heather Joyce Holland

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (5): SIESeries 7Series 6Series 24Series 63
Registered states (1): North Carolina
Years in the industry (source record): 24
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 (4)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Banc Of America Securities LLC
New York, NY · BC capacity

Feb 22, 2005 → Nov 1, 2010
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

Jun 24, 2002 → Feb 22, 2005
Securian Financial Services, Inc.
St. Paul, MN · BC capacity

Jul 23, 2001 → Apr 16, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3251634 ↗ FINRA BrokerCheck record for CRD 3251634 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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