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Lindsay Morganstein

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, AZ

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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 2024-10-18
CA RA APPROVED 2024-10-03
  • TX RA
    APPROVED_RES
    Since 2024-10-18
  • CA RA
    APPROVED
    Since 2024-10-03

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • 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
Robotic Trading Advisors, Llc Scottsdale AZ 08/2016 07/2017
Ameriprise Financial Services, Llc Minneapolis MN 08/2021 08/2024
Anacapa Advisors, Llc Pacific Palisades CA 12/2020 06/2022
Homemaker Chandler AZ 07/2017 08/2019
Wise World Investment Planning, Llc Chandler AZ 08/2019 03/2020
Homemaker Los Angeles CA 04/2020 12/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Phoenix AZ 09/2024 Present
  • 08/2016 → 07/2017
    Robotic Trading Advisors, Llc
    Scottsdale, AZ
  • 08/2021 → 08/2024
    Ameriprise Financial Services, Llc
    Minneapolis, MN
  • 12/2020 → 06/2022
    Anacapa Advisors, Llc
    Pacific Palisades, CA
  • 07/2017 → 08/2019
    Homemaker
    Chandler, AZ
  • 08/2019 → 03/2020
    Wise World Investment Planning, Llc
    Chandler, AZ
  • 04/2020 → 12/2020
    Homemaker
    Los Angeles, CA
  • 09/2024 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Phoenix, AZ
Previous Registrations
  • 2022-02-09 → 2024-08-29
    Ameriprise Financial Services, Llc
    Phoenix, AZ
    Los Angeles, CA
    Phoenix, AZ
  • 2016-10-04 → 2017-12-31
    Robotic Trading Advisors, Llc
    Scottsdale, AZ
  • 2014-01-15 → 2015-07-06
    Robotic Trading Advisors, Llc
    Scottsdale, AZ
    Scottsdale, AZ
  • 2012-04-25 → 2013-02-19
    Arque Capital, Ltd.
    Scottsdale, AZ
    Scottsdale, AZ
  • 2010-07-29 → 2010-09-23
    Equitable Advisors, Llc
    San Francisco, CA
  • 2009-03-23 → 2010-05-17
    New England Securities
    Elkridge, MD
  • 2008-06-03 → 2008-08-12
    Lpl Financial Llc
    Rockville, MD
  • 2008-01-03 → 2008-05-29
    Citigroup Global Markets Inc.
    Bethesda, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-04
S65 Uniform Investment Adviser Law Examination 2016-08-19
  • S66 Uniform Combined State Law Examination
    2022-01-04
  • S65 Uniform Investment Adviser Law Examination
    2016-08-19
Other Names
  • Lindsay Morganstein
  • Lindsay Rose Morganstein

View on SEC IAPD

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