Lindsey A Chiarelli

CRD 5104271 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Fairfield, CT

IA RegisteredBroker

Also appears in the source record as: Lindsey Ann Chiarelli; Lindsey Chiarelli; Lindsey Ann Ruggiero; Lindsey Ruggiero

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 31Series 7
Registered states (29): Alabama · Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Illinois · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · Washington · Wisconsin · Wyoming
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Fairfield, CT · IA capacity

Apr 28, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Fairfield, CT · BC capacity

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

Jan 16, 2009 → Apr 28, 2015
Ubs Financial Services Inc.
IA capacity

Jan 16, 2009 → Apr 28, 2015
Morgan Stanley & Co. Incorporated
BD capacity

Jun 27, 2007 → Jan 23, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Jun 27, 2007 → Jan 23, 2009
Citigroup Global Markets Inc.
IA capacity

May 2, 2006 → Jul 6, 2007
Citigroup Global Markets Inc.
BD capacity

Apr 13, 2006 → Jul 6, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5104271 ↗ FINRA BrokerCheck record for CRD 5104271 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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