Lisa M Brown

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-06-19
NJ	RA	APPROVED	2003-01-30

TX RA
APPROVED_RES

Since 2009-06-19
NJ RA
APPROVED

Since 2003-01-30

Branch Locations

7 Roszel Rd, Princeton, NJ 08540 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner&Smith Inc.	Princeton	NJ	08/1996	Present

08/1996 → Present

Merrill Lynch, Pierce, Fenner&Smith Inc.

Princeton, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-01-28

S66 Uniform Combined State Law Examination

2003-01-28

Other Names

Lisa M Brown

View on SEC IAPD

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Other Investors

DAVID WILLIAM SMITH

JOHN FRANCIS RYAN

ERICA DORAY SEREMETA

DUANE THOMAS LIEDL

MANUEL DAVID SEIDNER

RICHARD DALE WOLFE

MICHAEL JON HEILBRONN

ANGELA MARIE LIBRIZZI

Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ

SONGBIRD CAPITAL, LLC · PRINCETON, NJ

J.P. MORGAN SECURITIES LLC · Princeton, NJ

SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ

PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ

RBC CAPITAL MARKETS, LLC · Princeton, NJ

WATERMARK GROUP, INC. · PRINCETON, NJ

PRINCETON EQUITY GROUP · PRINCETON, NJ

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