Laura Aline Dunn

CRD 5276257 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wilkes Barre, PA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 79TOSIESeries 7Series 6
Registered states (35): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Maryland · Massachusetts · Michigan · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 19
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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wilkes Barre, PA · IA capacity

Mar 28, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wilkes Barre, PA · BC capacity

start not retrieved → present
Ei Capital Distributors, LLC
BD capacity

Jul 13, 2017 → Feb 27, 2020
Cion Securities, LLC
BD capacity

Apr 22, 2010 → May 8, 2017
Cole Capital Corporation
BD capacity

May 13, 2009 → Dec 31, 2009
Mfs Fund Distributors, Inc.
BD capacity

Feb 21, 2007 → May 18, 2009

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5276257 ↗ FINRA BrokerCheck record for CRD 5276257 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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