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Detailed Report
Donna Lynn Caron
DONNA L CARON, Donna Caron, DONNA LYNN MORGAN, DONNA KING SMITH, DONNA LYNN SMITH
CRD#: 1637902
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 FRANKLIN RD SE
ROANOKE, VA 24011
Registration History
19952000200520102015202020252 FIRMS2004 - 2017 (13 years)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2004 (<1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)2000 - 2002 (1 year)BFIRST UNION SECURITIES, INC. (CRD# 19616)1999 - 2000 (<1 year)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1993 - 1999 (5 years)
License(s)

State Registrations

B
Alabama 7/1/2022
B
North Carolina 8/1/2018
B
California 7/31/2018
B
Ohio 8/1/2018
B
Colorado 7/31/2018
B
Oregon 1/16/2023
B
Florida 7/31/2018
B
Pennsylvania 7/31/2018
B
Georgia 7/31/2018
B
Rhode Island 4/1/2020
B
Kentucky 7/31/2018
B
South Carolina 7/31/2018
B
Maine 7/31/2018
B
Tennessee 7/31/2018
B
Maryland 7/31/2018
B
Texas 7/31/2018
B
Massachusetts 7/31/2018
IA
Texas 7/31/2018
B
Michigan 7/31/2018
B
Vermont 1/16/2023
B
Minnesota 7/31/2018
B
Virginia 7/27/2018
B
Nebraska 7/31/2018
IA
Virginia 7/27/2018
B
New Hampshire 5/16/2024
B
Washington 4/15/2021
B
New Jersey 7/31/2018
B
West Virginia 7/31/2018
B
New York 7/31/2018
B
Wyoming 4/3/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 FRANKLIN RD SE, ROANOKE, VA 24011
Registered with this firm since 7/27/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 FRANKLIN RD SE, ROANOKE, VA 24011
Registered with this firm since 7/27/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/30/2017 - 07/02/2018 MORGAN STANLEY (CRD#:149777) ROANOKE, VA
B
 08/30/2017 - 07/02/2018 MORGAN STANLEY (CRD#:149777) ROANOKE, VA
IA
 07/26/2004 - 09/01/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROANOKE, VA
B
 03/30/2004 - 09/01/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROANOKE, VA
B
 07/10/2003 - 04/02/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 05/22/2000 - 03/06/2002 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 10/01/1999 - 06/05/2000 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 11/19/1993 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.