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Lori Renae Swart

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayzata, MN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2013-12-05
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2013-12-05

Branch Locations

315 Lake St E, Wayzata, MN 55391 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayzata MN 11/2012 Present
Bank Of America, N.A. Wayzata MN 04/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-06
  • S66 Uniform Combined State Law Examination
    2003-05-06
Other Names
  • Lori Renae Fick

View on SEC IAPD

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MORGAN STANLEY · Wayzata, MN
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WALLEYE CAPITAL LLC · WAYZATA, MN
GARDA CAPITAL PARTNERS · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA, MN
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