Joanna Lynn Prince

CRD 3275793 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Leawood, KS

IA RegisteredBroker

Also appears in the source record as: Joanna Lynn Dickensheets; Joanna L. Miller; Joanna Miller; Joanna Lynn Miller; Joanna L Prince

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 10Series 9SIESeries 7Series 6
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): 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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Leawood, KS · IA capacity

Mar 13, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Leawood, KS · BC capacity

start not retrieved → present
Raymond James Financial Services Advisors, Inc
IA capacity

Jun 13, 2014 → Feb 28, 2023
Raymond James Financial Services, Inc.
BD capacity

Nov 25, 2013 → Feb 28, 2023
Raymond James Financial Services, Inc.
BD capacity

May 23, 2000 → Jun 12, 2002
Metropolitan Life Insurance Company
BD capacity

Aug 30, 1999 → May 8, 2000
Metlife Securities Inc.
BD capacity

Aug 30, 1999 → May 8, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3275793 ↗ FINRA BrokerCheck record for CRD 3275793 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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