Lisa Marie Balducci

CRD 4809939 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Lisa M Balducci; Lisa Balducci

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 7TOSIESeries 6
Registered states (27): Alabama · Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Kansas · Kentucky · Maryland · Massachusetts · Missouri · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · West Virginia · Wisconsin
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4809939 contains one or more disclosure events as of Aug 20, 2026.

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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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · IA capacity

Feb 22, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Woodbury Financial Services, Inc.
BD capacity

Oct 18, 2018 → Sep 25, 2019
Hsbc Securities (USA) Inc.
BD capacity

Jul 26, 2017 → Feb 14, 2018
M&t Securities, Inc.
BD capacity

Jun 18, 2004 → Jun 26, 2017

Source & corrections

Where this page comes from

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