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Lesley Anne Lao Sy

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-10-13
CA RA APPROVED 2007-01-19
  • TX RA
    APPROVED_RES
    Since 2022-10-13
  • CA RA
    APPROVED
    Since 2007-01-19

Branch Locations

555 California St Pbig - San Francisco, San Francisco, CA 94104 • United States

One Bryant Park, New York, NY 10036 • 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 San Francisco CA 03/2002 Present
  • 03/2002 → Present
    Merrill Lynch
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-18
  • S66 Uniform Combined State Law Examination
    2007-01-18
Other Names
  • Lesley Anne Lao Sy
  • Lesley Lao Sy

View on SEC IAPD

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RBC SECURITIES, INC · SAN FRANCISCO, CA
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