Shannon Renee Roehrs

CRD 4359877 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Henderson, NV

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 3Series 7Series 24Series 9Series 10Series 66
Registered states (53): 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 Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · 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

The official record for CRD 4359877 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Henderson, NV · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Henderson, NV · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
Las Vegas, NV · IA capacity

Jun 23, 2009 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Las Vegas, NV · BC capacity

Jun 23, 2009 → Oct 23, 2009
Morgan Stanley Smith Barney LLC
Las Vegas, NV · IA capacity

Jun 1, 2009 → Jun 22, 2009
Morgan Stanley Smith Barney
Las Vegas, NV · BC capacity

Jun 1, 2009 → Jun 22, 2009
Morgan Stanley & Co. Incorporated
Las Vegas, NV · IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
Las Vegas, NV · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
Las Vegas, NV · IA capacity

Jul 16, 2004 → Apr 2, 2007
Morgan Stanley Dw Inc.
Las Vegas, NV · BC capacity

Jul 16, 2004 → Apr 2, 2007
Wachovia Securities, LLC
Las Vegas, NV · IA capacity

Oct 24, 2003 → Jul 8, 2004
Wachovia Securities, LLC
St. Louis, MO · BC capacity

Oct 24, 2003 → Jul 8, 2004
Quick & Reilly, Inc.
Las Vegas, NV · IA capacity

Sep 4, 2002 → Jul 17, 2003
Quick & Reilly, Inc.
New York, NY · BC capacity

Jun 25, 2002 → Jul 17, 2003
Ubs Painewebber Inc.
Las Vegas, NV · IA capacity

Jan 15, 2002 → Jun 13, 2002
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

May 14, 2001 → Jun 13, 2002

Source & corrections

Where this page comes from

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