Lisa Marie Germain

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2014-10-21

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2014-10-21

Branch Locations

205 S Salina St, Syracuse, NY 13202 • United States

Cazenovia, NY • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Syracuse	NY	09/1991	Present
Bank Of America,Na	Syracuse	NY	09/2009	Present

09/1991 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Syracuse, NY
09/2009 → Present

Bank Of America,Na

Syracuse, NY

Other Businesses

I*1928269 , Entity Type, Charitable Name of OBA:Central NY Community Foundation Address:syracuse,NY,13202 Investment Related: NO Position, Title, Association:Committee Employee Start Date: 09/18/2024 No Hours: 2 MONTHLY No Hours during trading: 2 Duties:Community representative and strategist

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-21
S63	Uniform Securities Agent State Law Examination	1992-01-06

S65 Uniform Investment Adviser Law Examination

1997-08-21
S63 Uniform Securities Agent State Law Examination

1992-01-06

Other Names

Lisa Marie Simbari

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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