Nicholas J Lucarelli

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-06-05
IL	RA	APPROVED	2017-05-10
TX	RA	APPROVED	2015-02-24

CA RA
APPROVED

Since 2023-06-05
IL RA
APPROVED

Since 2017-05-10
TX RA
APPROVED

Since 2015-02-24

Branch Locations

Tempe, AZ • United States

2555-2595 W Chandler Blvd Ci Client Services, Chandler, AZ 85224 • United States

540 W Madison St Ci Client Services, Chicago, IL 60661 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	02/2011	Present

02/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-12-03
S63	Uniform Securities Agent State Law Examination	2014-07-17

S65 Uniform Investment Adviser Law Examination

2014-12-03
S63 Uniform Securities Agent State Law Examination

2014-07-17

Other Names

Nicholas John Lucarelli