Alan John Lekawski

CRD 4543502 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Eastvale, CA

IA RegisteredBroker

Also appears in the source record as: Alan J Lekawski; Alan Lekawski

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (9): Arizona · California · Florida · Georgia · Nevada · North Carolina · Oregon · Texas · Washington
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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Eastvale, CA · IA capacity

Mar 16, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Eastvale, CA · BC capacity

start not retrieved → present
Bbva Securities Inc.
BD capacity

May 16, 2013 → Jan 30, 2015
Bbva Compass Investment Solutions, Inc
BD capacity

Feb 9, 2010 → May 16, 2013
Guaranty Brokerage Services, Inc.
BD capacity

Jan 5, 2006 → Dec 23, 2009
Sammons Securities Company, LLC
BD capacity

Jan 29, 2003 → Dec 31, 2003
National Planning Corporation
BD capacity

Jul 2, 2002 → Jan 7, 2003

Source & corrections

Where this page comes from

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