Samantha L Clyne-Roland

CRD 5400397 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Brooklyn, NY

IA RegisteredBroker

Also appears in the source record as: Samantha L Clyne; Samantha Clyne Roland

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (17): Arkansas · California · Connecticut · Delaware · District Of Columbia · Florida · Maine · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · Texas · Vermont
Years in the industry (source record): 19
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5400397 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Brooklyn, NY · IA capacity

Sep 3, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Brooklyn, NY · BC capacity

start not retrieved → present
Empower Advisory Group, LLC
IA capacity

May 19, 2025 → Jul 30, 2025
Empower Financial Services, Inc.
BD capacity

Apr 4, 2022 → Jul 30, 2025
Prudential Investment Management Services LLC
BD capacity

Feb 17, 2021 → Apr 4, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Jun 26, 2018 → Jan 21, 2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 24, 2018 → Jan 21, 2021
Chase Investment Services Corp.
BD capacity

Aug 30, 2007 → Nov 16, 2010

Source & corrections

Where this page comes from

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