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Lance Bernard Fraser

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fort Myers, FL

Naples, FL

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
FL RA APPROVED 2022-01-10
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2017-05-17
CT RA APPROVED 2010-11-08
  • FL RA
    APPROVED
    Since 2022-01-10
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2017-05-17
  • CT RA
    APPROVED
    Since 2010-11-08

Branch Locations

Fort Myers, FL • United States

9128 Strada Pl Gwim Chief Investment Office (Cio), Naples, FL 34108 • United States

One Bryant Park Gwim Chief Investment Office (Cio), 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, Pierce, Fenner & Smith Incorporated New York NY 08/2004 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-05
S63 Uniform Securities Agent State Law Examination 2005-05-13
  • S66 Uniform Combined State Law Examination
    2010-11-05
  • S63 Uniform Securities Agent State Law Examination
    2005-05-13

View on SEC IAPD

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