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Carolyn Fleury
CAROLYN WEMPLE Fleury, CAROLYN WEMPLE STEFFEY, CAROLYN STEFFEY, CAROLYN WEMPLE
CRD#: 2636424
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 13321 CALIFORNIA ST
OMAHA, NE 68154
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2019 - 2021 (1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2018 - 2019 (1 year)BJ.P. MORGAN SECURITIES INC. (CRD# 15733)1995 - 1996 (1 year)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2020 - 2021 (1 year)
License(s)

State Registrations

B
Alabama 11/4/2021

IA
Nebraska 8/12/2021

B
Alaska 11/4/2021

B
Nevada 11/4/2021

B
Arizona 11/4/2021

B
New Hampshire 11/4/2021

B
Arkansas 11/4/2021

B
New Jersey 11/4/2021

B
California 11/4/2021

B
New Mexico 11/4/2021

B
Colorado 11/4/2021

B
New York 11/4/2021

B
Connecticut 11/4/2021

B
North Carolina 11/4/2021

B
Delaware 11/4/2021

B
North Dakota 11/4/2021

B
District of Columbia 11/4/2021

B
Ohio 11/4/2021

B
Florida 11/4/2021

B
Oklahoma 11/4/2021

B
Georgia 11/4/2021

B
Oregon 11/4/2021

B
Hawaii 11/4/2021

B
Pennsylvania 11/4/2021

B
Idaho 11/4/2021

B
Puerto Rico 11/4/2021

B
Illinois 11/4/2021

B
Rhode Island 11/4/2021

B
Indiana 11/4/2021

B
South Carolina 11/4/2021

B
Iowa 11/4/2021

B
South Dakota 11/4/2021

B
Kansas 11/4/2021

B
Tennessee 11/12/2021

B
Kentucky 11/4/2021

IA
Tennessee 11/15/2021

B
Louisiana 11/4/2021

B
Texas 11/4/2021

B
Maine 11/4/2021

IA
Texas 11/4/2021

B
Maryland 11/4/2021

B
Utah 11/4/2021

B
Massachusetts 11/4/2021

B
Vermont 11/4/2021

B
Michigan 11/4/2021

B
Virgin Islands 11/4/2021

B
Minnesota 11/4/2021

B
Virginia 11/4/2021

B
Mississippi 11/4/2021

B
Washington 11/4/2021

B
Missouri 11/4/2021

B
West Virginia 11/4/2021

B
Montana 11/4/2021

B
Wisconsin 11/4/2021

B
Nebraska 8/10/2021

B
Wyoming 11/4/2021

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

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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)
13321 CALIFORNIA ST, OMAHA, NE 68154
Gallatin, TN
Registered with this firm since 8/12/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
13321 CALIFORNIA ST, OMAHA, NE 68154
Gallatin, TN
Registered with this firm since 8/10/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/03/2020 - 06/22/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) Franklin, TN
B
10/15/2019 - 06/22/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) Franklin, TN
B
02/06/2018 - 10/08/2019 NYLIFE SECURITIES LLC (CRD#:5167) FRANKLIN, TN
B
08/23/1995 - 09/20/1996 J.P. MORGAN SECURITIES INC. (CRD#:15733) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.