Elizabeth Rose

CRD 4308260 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Elizabeth Anne Rose; Elizabeth Rose

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 21Series 25Series 65Series 63
Registered states (1): New York
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Bofa Securities, Inc.
New York, NY · BC capacity

May 10, 2019 → Jun 28, 2019
Barclays Capital Inc.
New York, NY · BC capacity

Sep 22, 2008 → Jun 25, 2015
Lehman Brothers Inc.
New York, NY · BC capacity

Dec 17, 2007 → Sep 22, 2008
Van Der Moolen Specialists USA, LLC
New York, NY · BC capacity

Sep 6, 2005 → Jan 8, 2008
Labranche & Co. LLC
New York, NY · BC capacity

Jun 11, 2002 → Aug 26, 2005
Robb Peck Mccooey Specialist Corporation
New York, NY · BC capacity

Oct 1, 2000 → Jan 26, 2001

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 4308260 ↗ FINRA BrokerCheck record for CRD 4308260 ↗ 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.