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Lisa M Barone

Merrill Lynch, Pierce, Fenner & Smith Incorporated

White Plains, 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 2023-01-06
NY RA APPROVED 2022-12-15
  • TX RA
    APPROVED_RES
    Since 2023-01-06
  • NY RA
    APPROVED
    Since 2022-12-15

Branch Locations

360 Hamilton Ave, White Plains, NY 10601 • 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
Oppenheimer & Co. Inc. Stamford CT 03/2008 12/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated White Plains NY 12/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-10-11
S63 Uniform Securities Agent State Law Examination 1995-01-23
  • S65 Uniform Investment Adviser Law Examination
    2002-10-11
  • S63 Uniform Securities Agent State Law Examination
    1995-01-23

View on SEC IAPD

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