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Seren E Lass

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY

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
TX RA APPROVED 2024-03-27
NY RA APPROVED 2024-03-15
  • TX RA
    APPROVED
    Since 2024-03-27
  • NY RA
    APPROVED
    Since 2024-03-15

Branch Locations

1325 Franklin Ave, Garden City, NY 11530 • United States

New York, NY • 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
Morgan Stanley Richmond VA 10/2017 12/2017
Apex Life Sciences Richmond VA 07/2017 10/2017
The A Academy Madrid 09/2016 06/2017
Morgan Stanley Private Bank, National Association New York NY 12/2017 04/2018
Wells Fargo Clearing Services Llc Glen Allen VA 05/2018 03/2021
Morgan Stanley New York NY 04/2021 02/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 02/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-26
  • S66 Uniform Combined State Law Examination
    2018-02-26
Other Names
  • Seren Ett Lass
  • Seren Elizabeth Howard Lass
  • Seren Elizabeth Lass
  • Seren E Lass
  • Seren Lass

View on SEC IAPD

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