Alora Diane Anderson

CRD 4689256 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Alora D Anderson; Alora Anderson; Alora Diane Cooper; Alora Cooper

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 10Series 9SIESeries 7
Registered states (23): Alaska · Arizona · California · Colorado · Florida · Georgia · Indiana · Kentucky · Louisiana · Massachusetts · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · Oklahoma · Oregon · Pennsylvania · Tennessee · Texas · Virgin Islands · Virginia
Years in the industry (source record): 22
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · IA capacity

Jul 2, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Dec 19, 2011 → Jul 15, 2015
Ubs Financial Services Inc.
IA capacity

Dec 19, 2011 → Jul 15, 2015
Fsc Securities Corporation
IA capacity

Mar 18, 2010 → Nov 10, 2010
Fsc Securities Corporation
BD capacity

Jan 12, 2010 → Nov 10, 2010
Ubs Financial Services Inc.
IA capacity

Jan 17, 2005 → Dec 15, 2009
Ubs Financial Services Inc.
BD capacity

Nov 5, 2004 → Dec 15, 2009

Source & corrections

Where this page comes from

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