Timothy Charles Lawrence

CRD 5602608 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Tulsa, OK

IA RegisteredBroker

Also appears in the source record as: Tim Lawrence

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 31Series 7
Registered states (39): Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Idaho · Illinois · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 18
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tulsa, OK · IA capacity

May 24, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tulsa, OK · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → Jun 11, 2019
J.P. Morgan Securities LLC
IA capacity

Oct 1, 2012 → Jun 11, 2019
Chase Investment Services Corp.
BD capacity

Jun 2, 2012 → Oct 1, 2012
Chase Investment Services Corp.
IA capacity

Jun 2, 2012 → Oct 1, 2012
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Jun 18, 2012
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Jun 18, 2012
Citigroup Global Markets Inc.
IA capacity

Dec 15, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Nov 20, 2008 → Jun 1, 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 5602608 ↗ FINRA BrokerCheck record for CRD 5602608 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. 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.