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Detailed Report
LORNA R SABBIA
Lorna ROSE Sabbia
CRD#: 1873495
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
RETIREMENT & PERSONAL WEALTH SOLUTIONS
BOSTON, MA 02110
Registration History
19952000200520102015202020252 FIRMS2002 - 2006 (4 years)2 FIRMS2006 - Present (18 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 2006 (11 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1993 - 1995 (2 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1996 - 2006 (9 years)
License(s)

State Registrations

B
Alabama 8/30/2013
B
Nevada 8/30/2013
B
Alaska 8/30/2013
B
New Hampshire 8/30/2013
B
Arizona 8/30/2013
B
New Jersey 9/19/2006
B
Arkansas 8/30/2013
IA
New Jersey 9/19/2006
B
California 8/30/2013
B
New Mexico 8/30/2013
B
Colorado 8/30/2013
B
New York 9/19/2006
B
Connecticut 8/30/2013
B
North Carolina 9/4/2013
B
Delaware 8/30/2013
B
North Dakota 8/30/2013
B
District of Columbia 8/30/2013
B
Ohio 8/30/2013
B
Florida 8/30/2013
B
Oklahoma 8/30/2013
B
Georgia 8/30/2013
B
Oregon 8/30/2013
B
Hawaii 8/30/2013
B
Pennsylvania 8/30/2013
B
Idaho 8/30/2013
B
Puerto Rico 8/30/2013
B
Illinois 8/30/2013
B
Rhode Island 8/30/2013
B
Indiana 8/30/2013
B
South Carolina 8/30/2013
B
Iowa 8/30/2013
B
South Dakota 8/30/2013
B
Kansas 8/30/2013
B
Tennessee 8/30/2013
B
Kentucky 8/30/2013
B
Texas 8/30/2013
B
Louisiana 8/30/2013
IA
Texas 10/16/2013
B
Maine 8/30/2013
B
Utah 8/30/2013
B
Maryland 8/30/2013
B
Vermont 8/30/2013
B
Massachusetts 3/27/2009
B
Virgin Islands 8/30/2013
B
Michigan 8/30/2013
B
Virginia 8/30/2013
B
Minnesota 8/30/2013
B
Washington 8/30/2013
B
Mississippi 8/30/2013
B
West Virginia 8/30/2013
B
Missouri 8/30/2013
B
Wisconsin 8/30/2013
B
Montana 8/30/2013
B
Wyoming 8/30/2013
B
Nebraska 8/30/2013

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)
100 FEDERAL ST RETIREMENT & PERSONAL WEALTH SOLUTIONS, BOSTON, MA 02110
Arlington, MA
Registered with this firm since 9/19/2006
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST RETIREMENT & PERSONAL WEALTH SOLUTIONS, BOSTON, MA 02110
Arlington, MA
Registered with this firm since 9/19/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/19/2002 - 09/19/2006 MERRILL LYNCH INVESTMENT MANAGERS LP (CRD#:105068) PLAINSBORO, NJ
B
 09/19/2002 - 09/19/2006 FAM DISTRIBUTORS, INC. (CRD#:4100) NEW YORK, NY
IA
 07/11/1996 - 05/26/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PLAINSBORO, NJ
B
 04/26/1995 - 05/26/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 01/20/1993 - 02/08/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
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.