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Lisa A Bazzani

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-07-05
TX RA APPROVED 2019-06-30
  • NJ RA
    APPROVED
    Since 2019-07-05
  • TX RA
    APPROVED
    Since 2019-06-30

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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
Lpl Financial Llc Morristown NJ 04/2013 10/2018
Private Advisor Group, Llc Morristown NJ 07/2011 10/2018
Morgan Stanley Florham Park NJ 10/2018 03/2019
Merrill Lynch, Pierce, Fenner, & Smith Incorporated Florham Park NJ 06/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-11
S63 Uniform Securities Agent State Law Examination 1984-04-19
  • S66 Uniform Combined State Law Examination
    2017-05-11
  • S63 Uniform Securities Agent State Law Examination
    1984-04-19
Other Names
  • Lisa Anne Rose
  • Bazzani Anne Rose
  • Lisa Anne Rose
  • Lisa Anne Bazzani
  • Lisa A Bazzani
  • Lisa Bazzani

View on SEC IAPD

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Other Offices

WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
AMERIPRISE FINANCIAL SERVICES, LLC · FLORHAM PARK, NJ
WELLS FARGO CLEARING SERVICES, LLC · FLORHAM PARK, NJ
ROBERT W. BAIRD & CO. INCORPORATED · Florham Park, NJ

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