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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-07
NJ RA APPROVED 2023-11-14
  • TX RA
    APPROVED
    Since 2024-05-07
  • NJ RA
    APPROVED
    Since 2023-11-14

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Randolph NJ 10/2019 04/2023
Stay At Home Parent Randolph NJ 04/2007 10/2019
Raymond James Financial Services Advisors Randolph NJ 02/2022 04/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 11/2023 Present
Unemployed Randolph NJ 04/2023 11/2023
Money At Work, Llc Cedar Knolls NJ 10/2019 04/2023
Bank Of America, N.A. Florham NJ 11/2023 Present
  • 10/2019 → 04/2023
    Raymond James Financial Services
    Randolph, NJ
  • 04/2007 → 10/2019
    Stay At Home Parent
    Randolph, NJ
  • 02/2022 → 04/2023
    Raymond James Financial Services Advisors
    Randolph, NJ
  • 11/2023 → Present
    Florham Park, NJ
  • 04/2023 → 11/2023
    Unemployed
    Randolph, NJ
  • 10/2019 → 04/2023
    Money At Work, Llc
    Cedar Knolls, NJ
  • 11/2023 → Present
    Bank Of America, N.A.
    Florham, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-27
S63 Uniform Securities Agent State Law Examination 2000-10-04
  • S66 Uniform Combined State Law Examination
    2022-01-27
  • S63 Uniform Securities Agent State Law Examination
    2000-10-04
Other Names
  • Lisa Rubi
  • Elizabeth D Rubi
  • Elizabeth Deidra Rubi
  • Lisa Padewski
  • Elizabeth Rubi
  • Elizabeth Deidra Padewski

View on SEC IAPD

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