Cara Bradley Lennon

CRD 4228967 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · The Woodlands, TX

IA RegisteredBroker

Also appears in the source record as: Cara Beatrice Bradley; Cara Beatrice Lennon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 9Series 10Series 66Series 63
Registered states (48): 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 York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
The Woodlands, TX · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
The Woodlands, TX · BC capacity

start not retrieved → present
Nfp Securities, Inc.
Austin, TX · BC capacity

Jul 19, 2006 → May 15, 2007
Nfp Securities, Inc.
Austin, TX · IA capacity

Jul 7, 2006 → May 15, 2007
Strategic Advisers, Inc.
Austin, TX · IA capacity

May 28, 2004 → Sep 19, 2005
Fidelity Brokerage Services LLC
Smithfield, RI · BC capacity

Aug 27, 2003 → Sep 19, 2005
Southwest Securities, Inc.
Dallas, TX · BC capacity

May 20, 2003 → Jul 18, 2003
Chase Investment Services Corp.
Chicago, IL · BC capacity

Jan 17, 2003 → May 23, 2003
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Dec 18, 2000 → Oct 8, 2002

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4228967 ↗ FINRA BrokerCheck record for CRD 4228967 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.