Lissette Julmir Espana

CRD 5478834 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · West Palm Beach, FL

IA RegisteredBroker

Also appears in the source record as: Lissette Espana; Lissette J Espaã'a; Lissette J Espana

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (36): Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington
Years in the industry (source record): 17
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Palm Beach, FL · IA capacity

Oct 31, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Palm Beach, FL · BC capacity

start not retrieved → present
First Republic Investment Management, Inc.
IA capacity

Mar 28, 2022 → Apr 10, 2023
First Republic Securities Company, LLC
BD capacity

Dec 6, 2021 → Apr 10, 2023
Citigroup Global Markets Inc.
BD capacity

Mar 30, 2021 → Nov 9, 2021
Citigroup Global Markets Inc.
IA capacity

Mar 30, 2021 → Nov 9, 2021
Morgan Stanley
IA capacity

Mar 11, 2014 → Mar 24, 2021
Morgan Stanley
BD capacity

Mar 10, 2014 → Mar 24, 2021
Deutsche Bank Securities Inc.
IA capacity

Feb 29, 2012 → Sep 24, 2013
Deutsche Bank Securities Inc.
BD capacity

Feb 23, 2012 → Sep 24, 2013
Credit Suisse Securities (USA) LLC
IA capacity

Oct 20, 2009 → Feb 17, 2012
Credit Suisse Securities (USA) LLC
BD capacity

Jul 14, 2009 → Feb 17, 2012
Deutsche Bank Securities Inc.
BD capacity

Feb 9, 2009 → Aug 5, 2009

Source & corrections

Where this page comes from

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