Jennifer Lynn Stapleton

CRD 4508013 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Florham Park, NJ

IA RegisteredBroker

Also appears in the source record as: Jennifer L. Stapleton; Jennifer Stapleton

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 3Series 7Series 66
Registered states (2): Florida · New Jersey
Years in the industry (source record): 20
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · BC capacity

start not retrieved → present
Stifel, Nicolaus & Company, Incorporated
New York, NY · IA capacity

Dec 4, 2015 → Nov 30, 2018
Stifel, Nicolaus & Company, Incorporated
New York, NY · BC capacity

Dec 4, 2015 → Nov 30, 2018
Barclays Capital Inc.
New York, NY · IA capacity

May 30, 2012 → Dec 4, 2015
Barclays Capital Inc.
New York, NY · BC capacity

May 30, 2012 → Dec 4, 2015
Wells Fargo Advisors, LLC
New York, NY · IA capacity

Aug 12, 2009 → May 21, 2012
Wells Fargo Advisors, LLC
New York, NY · BC capacity

May 11, 2009 → May 21, 2012
Citigroup Global Markets Inc.
Florham Park, NJ · IA capacity

Dec 11, 2007 → Feb 9, 2009
Citigroup Global Markets Inc.
Florham Park, NJ · BC capacity

Jul 5, 2007 → Feb 9, 2009
W. H. Mell Associates, Inc.
Summit, NJ · BC capacity

Apr 5, 2006 → Jul 5, 2007

Source & corrections

Where this page comes from

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