Best Investors Account Sign in

Lisa Marie Daniel

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Barbara, CA

CRD 1517339

Claim This Profile
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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-06-25
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-06-25
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

1096 Coast Village Rd, Santa Barbara, CA 93108 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Barbara CA 10/2009 Present
Bank Of America, N.A. Santa Barbara CA 07/2011 Present
Previous Registrations
  • 1998-05-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Santa Barbara, CA
    Camarillo, CA
    Camarillo, CA
    Goleta, CA
    Santa Barbara, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-31
S63 Uniform Securities Agent State Law Examination 1986-09-18
  • S65 Uniform Investment Adviser Law Examination
    1997-10-31
  • S63 Uniform Securities Agent State Law Examination
    1986-09-18
Other Names
  • Lisa Marie Shaw
  • Lisa Marie Shaw

View on SEC IAPD

Nearby Firms

CERITY PARTNERS LLC
J.P. MORGAN SECURITIES LLC
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Nearby Investors

DARIN CARLTON MAST
Eric Scott Wasmuth
CLAYTON ROBERT GIBSON

Nearby Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA

More in Santa Barbara, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor