Samantha L Somers

CRD 5477145 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Naples, FL

IA RegisteredBroker

Also appears in the source record as: Samantha Leigh Somers; Samantha Somers

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 31SIESeries 7Series 9Series 10Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 11
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5477145 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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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 (6)

From the source registration record · current first

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

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

start not retrieved → present
Raymond James Financial Services Advisors, Inc
Fort Myers, FL · IA capacity

Jul 20, 2017 → Nov 23, 2018
Raymond James Financial Services, Inc.
Fort Myers, FL · BC capacity

Jul 11, 2017 → Nov 23, 2018
Morgan Stanley
Ft. Myers, FL · IA capacity

May 18, 2016 → Jul 6, 2017
Morgan Stanley
Ft. Myers, FL · BC capacity

Mar 11, 2015 → Jul 6, 2017

Source & corrections

Where this page comes from

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