Lori Ray

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2017-08-21

CA RA
APPROVED

Since 2017-08-21

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

2595 W Chandler Blvd, Chandler, AZ 85224 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	10/2014	Present

10/2014 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

Other Businesses

I*1876350 Entity Charitable Name of OBA: Actors Youth Theatre Address: Gilbert, Arizona, 85234 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 06/17/2024 No Hours: 10 No Hours during trading: 0 Duties: Marketing for Theatre

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-08-18

S66 Uniform Combined State Law Examination

2017-08-18

Other Names

Lori Ann Lynch
Lori Ann Salcido

View on SEC IAPD