Lindsay Morganstein

CRD 5314399 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Lindsay Rose Morganstein; Lindsay Morganstein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 7Series 66Series 65
Registered states (44): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 10
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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Phoenix, AZ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Phoenix, AZ · BC capacity

start not retrieved → present
Ameriprise Financial Services, LLC
Phoenix, AZ · IA capacity

Feb 9, 2022 → Aug 29, 2024
Ameriprise Financial Services, LLC
Phoenix, AZ · BC capacity

Nov 18, 2021 → Aug 29, 2024
Robotic Trading Advisors, LLC
Scottsdale, AZ · IA capacity

Oct 4, 2016 → Dec 31, 2017
Arque Capital, Ltd.
Scottsdale, AZ · IA capacity

Apr 25, 2012 → Feb 19, 2013
Arque Capital, Ltd.
Scottsdale, AZ · BC capacity

Feb 23, 2012 → Feb 19, 2013
Axa Advisors, LLC
San Francisco, CA · IA capacity

Jul 29, 2010 → Sep 23, 2010
Axa Advisors, LLC
San Francisco, CA · BC capacity

Jul 28, 2010 → Sep 23, 2010
New England Securities Corporation
Bethesda, MD · IA capacity

Mar 23, 2009 → May 17, 2010
New England Securities
Bethesda, MD · BC capacity

Mar 18, 2009 → May 17, 2010
Lpl Financial Corporation
Rockville, MD · IA capacity

Jun 3, 2008 → Aug 12, 2008
Lpl Financial Corporation
Rockville, MD · BC capacity

Jun 3, 2008 → Aug 12, 2008
Citigroup Global Markets Inc.
Bethesda, MD · IA capacity

Jan 3, 2008 → May 29, 2008
Citigroup Global Markets Inc.
Bethesda, MD · BC capacity

Nov 2, 2007 → May 29, 2008

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 5314399 ↗ FINRA BrokerCheck record for CRD 5314399 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.