Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LOURDEZ CORTEZ
CRD#: 3143360
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
Registration History
20002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2008 (8 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)1999 - 2000 (<1 year)
License(s)

State Registrations

B
Arizona 12/4/2008
B
Nevada 4/1/2020
B
Arkansas 2/17/2020
B
New Hampshire 12/4/2008
B
California 12/4/2008
B
New Jersey 12/4/2008
B
Colorado 4/26/2010
B
New Mexico 2/6/2023
B
Connecticut 12/4/2008
B
New York 12/4/2008
IA
Connecticut 12/17/2012
B
North Carolina 12/5/2008
B
Delaware 12/1/2011
B
Ohio 1/12/2011
B
District of Columbia 4/4/2019
B
Oregon 4/26/2010
B
Florida 12/4/2008
B
Pennsylvania 4/26/2010
B
Georgia 12/4/2008
B
Rhode Island 4/26/2010
B
Hawaii 11/15/2024
B
South Carolina 10/4/2010
B
Illinois 12/4/2008
B
Tennessee 5/26/2015
B
Indiana 10/1/2024
IA
Texas 3/9/2009
B
Kentucky 10/1/2024
B
Texas 4/26/2010
B
Maine 12/4/2008
B
Utah 10/1/2024
B
Maryland 12/4/2008
B
Vermont 12/4/2008
B
Massachusetts 12/4/2008
B
Virgin Islands 4/26/2017
B
Michigan 4/26/2010
B
Virginia 12/4/2008
B
Minnesota 4/26/2010
B
Washington 4/26/2010
B
Mississippi 10/1/2024
B
West Virginia 3/16/2020
B
Missouri 10/1/2024
B
Wisconsin 12/1/2011

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)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 3/9/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 12/4/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/15/2000 - 12/15/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALTHAM, MA
B
 06/07/1999 - 02/04/2000 BANC OF AMERICA SECURITIES LLC (CRD#:26091) 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.