Sandra Lee Raia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saratoga Springs, NY

Short Hills, NJ

Saratoga Springs, NY

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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	2025-10-21
PA	RA	APPROVED	2025-06-17
TX	RA	APPROVED_RES	2025-04-15
NJ	RA	APPROVED	2008-02-01

NY RA
APPROVED

Since 2025-10-21
PA RA
APPROVED

Since 2025-06-17
TX RA
APPROVED_RES

Since 2025-04-15
NJ RA
APPROVED

Since 2008-02-01

Branch Locations

Saratoga Springs, NY • United States

51 John F Kennedy Pkwy, Short Hills, NJ 07078 • United States

18 Division St, Saratoga Springs, NY 12866 • 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 : 7691	Short Hills	NJ	01/2008	Present
Bank Of America, Na	Short Hills	NJ	12/2009	Present

01/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

Short Hills, NJ
12/2009 → Present

Bank Of America, Na

Short Hills, NJ

Previous Registrations

2002-07-02 → 2008-02-15

Ubs Financial Services Inc.

Edison, NJ

Edison, NJ
2002-07-01 → 2002-07-16

Prudential Equity Group, Llc

Florham Park, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-04-02
S63	Uniform Securities Agent State Law Examination	1986-09-12

S65 Uniform Investment Adviser Law Examination

1992-04-02
S63 Uniform Securities Agent State Law Examination

1986-09-12

Other Names

Sandra Lee Rogers

View on SEC IAPD

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