Daniel Timothy Lombardi

CRD 4137286 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Orland Park, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 10Series 24SIESeries 7
Registered states (18): Arizona · Arkansas · Florida · Illinois · Indiana · Iowa · Michigan · Minnesota · Nevada · New Jersey · North Carolina · Ohio · Oregon · South Carolina · Tennessee · Texas · Virgin Islands · Washington
Years in the industry (source record): 26
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Orland Park, IL · IA capacity

Feb 26, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Orland Park, IL · BC capacity

start not retrieved → present
Chase Investment Services Corp.
BD capacity

Jan 30, 2009 → Feb 19, 2009
Chase Investment Services Corp.
IA capacity

Jan 30, 2009 → Feb 19, 2009
Banc Of America Investment Services, Inc.
BD capacity

Oct 24, 2008 → Dec 31, 2008
Banc Of America Investment Services, Inc.
IA capacity

Oct 24, 2008 → Dec 31, 2008
Lasalle Financial Services, Inc.
IA capacity

Dec 10, 2001 → Oct 24, 2008
Lasalle Financial Services, Inc.
BD capacity

Jul 25, 2001 → Oct 24, 2008
Ids Life Insurance Company
BD capacity

Apr 18, 2000 → Feb 6, 2001
American Express Financial Advisors Inc.
BD capacity

Apr 18, 2000 → Feb 6, 2001

Source & corrections

Where this page comes from

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Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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