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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 2018-04-10
LA RA APPROVED 2017-04-03
NJ RA APPROVED 2014-04-24
  • TX RA
    APPROVED
    Since 2018-04-10
  • LA RA
    APPROVED
    Since 2017-04-03
  • NJ RA
    APPROVED
    Since 2014-04-24

Branch Locations

17802 W Interstate 10, San Antonio, TX 78257 • United States

401 Edwards St, Shreveport, LA 71101 • United States

5910 N Central Expy, Dallas, TX 75206 • United States

Plano, TX • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Inc. Bridgewater NJ 04/2014 Present
  • 04/2014 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Bridgewater, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-26
S63 Uniform Securities Agent State Law Examination 1995-11-03
  • S66 Uniform Combined State Law Examination
    2002-10-26
  • S63 Uniform Securities Agent State Law Examination
    1995-11-03
Other Names
  • Lisa Gwendolyn Phinney
  • Lisa Gwendolyn Childs
  • Lisa Phinney
  • Lisa Phinney Childs

View on SEC IAPD

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