Carina M Porterfield

CRD 4258436 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Diego, CA

IA RegisteredBroker

Also appears in the source record as: Carina Marie Ferlander; Carina Marie Lindsey; Carina Lindsey; Carina Marie Porterfield; Carina Porterfield

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (39): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Maine · Maryland · Massachusetts · Michigan · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 23
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
San Diego, CA · IA capacity

Sep 5, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Diego, CA · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Apr 25, 2013 → Aug 9, 2019
Morgan Stanley
IA capacity

Apr 25, 2013 → Aug 9, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Aug 6, 2009 → Apr 22, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Aug 6, 2009 → Apr 22, 2013
Ubs Financial Services Inc.
IA capacity

Jul 18, 2007 → Aug 3, 2009
Ubs Financial Services Inc.
BD capacity

Apr 5, 2007 → Aug 3, 2009
Rbc Dain Rauscher Inc.
BD capacity

Apr 29, 2003 → Feb 1, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4258436 ↗ FINRA BrokerCheck record for CRD 4258436 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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