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LISA KRANZLER KENT
LISA ANN KENT, LISA ANN KRANZLER
CRD#: 1026177
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 7 ROSZEL RD
PRINCETON, NJ 08540
PRINCETON, NJ 08540
View By:
3/24/2000
Customer Dispute
Settled
State Registrations
B
Arizona 11/2/1990
B
New Jersey 8/24/1983
B
California 3/24/1984
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New Jersey 12/4/2007
B
Colorado 2/6/2006
B
New Mexico 11/2/2004
B
Connecticut 4/11/1984
B
New York 12/24/1981
B
Delaware 2/27/2013
B
North Carolina 3/16/1990
B
District of Columbia 4/26/2022
B
Ohio 3/26/2004
B
Florida 5/9/1983
B
Oklahoma 1/5/1999
B
Georgia 6/30/2020
B
Oregon 1/12/2021
B
Illinois 7/27/2023
B
Pennsylvania 2/2/1987
B
Indiana 1/7/2025
B
Puerto Rico 9/7/2022
B
Iowa 5/30/2018
B
South Carolina 10/8/2003
B
Maine 6/28/2018
B
Tennessee 7/8/2021
B
Maryland 1/13/2004
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Texas 2/25/2005
B
Massachusetts 11/22/1985
B
Texas 3/13/2013
B
Michigan 1/4/2024
B
Utah 3/3/2016
B
Minnesota 1/9/2020
B
Virgin Islands 10/17/2016
B
Mississippi 6/14/2001
B
Virginia 1/12/2015
B
Nevada 2/12/2024
B
Washington 5/4/2001
B
New Hampshire 3/15/2024
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 2/25/2005
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Registered with this firm since 12/24/1981
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.