Lindsay Kae Shuck

CRD 4315275 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Las Vegas, NV

IA RegisteredBroker

Also appears in the source record as: Lindsay K Shuck

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (37): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Kansas · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Virginia · Washington · West Virginia · Wisconsin · Wyoming
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
Incline Village, NV · IA capacity

Sep 19, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Las Vegas, NV · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Jun 1, 2009 → Oct 2, 2024
Morgan Stanley
IA capacity

Jun 1, 2009 → Oct 2, 2024
Citigroup Global Markets Inc.
BD capacity

Oct 3, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Oct 3, 2008 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Oct 10, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Oct 10, 2008
Morgan Stanley
IA capacity

Jul 24, 2006 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Apr 12, 2006 → Apr 2, 2007
Wachovia Securities, LLC
IA capacity

Jun 17, 2003 → Mar 14, 2006
Wachovia Securities, LLC
BD capacity

Jun 16, 2003 → Mar 14, 2006
Linsco/Private Ledger Corp.
BD capacity

Aug 14, 2001 → Jun 24, 2003

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4315275 ↗ FINRA BrokerCheck record for CRD 4315275 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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