Helen P De Bearn

CRD 432526 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Leesburg, VA

IA RegisteredBroker

Also appears in the source record as: Helen Patricia Barry De Bearn; Patricia De Bearn; Helen Patricia Barry Debearn; Helen Patricia Sprague

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 7TOSIEPCSeries 1
Registered states (25): Arizona · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Illinois · Louisiana · Maryland · Massachusetts · Michigan · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Tennessee · Texas · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 55
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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Leesburg, VA · IA capacity

Feb 24, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Leesburg, VA · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
BD capacity

Jun 27, 2003 → Mar 17, 2009
Citigroup Global Markets Inc.
IA capacity

Jun 27, 2003 → Mar 17, 2009
Ubs Financial Services Inc.
IA capacity

Aug 13, 1991 → Jul 21, 2003
Ubs Financial Services Inc.
BD capacity

Aug 29, 1988 → Jul 21, 2003
Wheat, First Securities, Inc.
BD capacity

Apr 8, 1985 → Sep 9, 1988
Dean Witter Reynolds Inc.
BD capacity

Feb 24, 1978 → Apr 15, 1985
Loeb Partners
BD capacity

Jan 20, 1978 → Feb 26, 1978
Dean Witter & Co. Incorporated
BD capacity

Jan 27, 1978 → Feb 24, 1978
Loeb Rhoades & Co. Inc.
BD capacity

Jan 4, 1977 → Jan 20, 1978
Loeb, Rhoades & Co. Inc.
BD capacity

Apr 21, 1975 → Jan 4, 1977
Merrill Lynch, Pierce, Fenner & Smith, Inc.
BD capacity

Feb 20, 1973 → Apr 17, 1975
Ferris & Company, Incorporated
BD capacity

Oct 27, 1971 → Mar 6, 1973

Source & corrections

Where this page comes from

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