Lea A Garraffa

CRD 4016917 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Greenwich, CT

IA RegisteredBroker

Also appears in the source record as: Ariel Garraffa; Lea Ariel Garraffa; Lea Ariel Garraffa; Lea Ariel Johnson; Lea Johnson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 9Series 66Series 63
Registered states (35): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Kansas · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 25
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwich, CT · IA capacity

Jun 1, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwich, CT · BC capacity

Jun 1, 2018 → present
Ef Legacy Securities, LLC
Foxboro, MA · BC capacity

Apr 22, 2016 → Aug 8, 2017
Edelman Financial Services, LLC
Mansfield, MA · IA capacity

Oct 27, 2014 → Aug 8, 2017
Sanders Morris Harris LLC
Foxboro, MA · BC capacity

Oct 21, 2014 → Apr 22, 2016
Morgan Stanley
Purchase, NY · IA capacity

Jul 1, 2013 → Nov 11, 2014
Morgan Stanley
Purchase, NY · BC capacity

Jun 1, 2009 → Nov 11, 2014
Morgan Stanley & Co. Incorporated
Purchase, NY · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley Dw Inc.
Greenwich, CT · BC capacity

Oct 11, 2005 → Apr 2, 2007
Ubs International Inc.
New York, NY · BC capacity

Jun 3, 2002 → Feb 23, 2005
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Dec 12, 2001 → Jun 3, 2002
J.C. Bradford & Co.
New York, NY · BC capacity

Feb 29, 2000 → Aug 14, 2000
Dljdirect Inc.
Jersey City, NJ · BC capacity

Nov 22, 1999 → Feb 14, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4016917 ↗ FINRA BrokerCheck record for CRD 4016917 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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