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LORI A HEGER
LORI A PEARSON, LORI ANN PEARSON
CRD#: 4224325
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N Wacker Dr
Chicago, IL 60606
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2009 (1 year)BMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2007 - 2007 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2007 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2009 (1 year)
License(s)

State Registrations

B
Alabama 1/22/2010

B
Montana 4/27/2010

B
Alaska 6/23/2011

B
Nebraska 1/22/2010

B
Arizona 5/15/2009

B
Nevada 5/15/2009

B
Arkansas 1/6/2010

B
New Hampshire 6/23/2011

B
California 5/15/2009

B
New Jersey 1/22/2010

B
Colorado 5/15/2009

B
New Mexico 8/3/2009

B
Connecticut 5/15/2009

B
New York 5/15/2009

B
Delaware 4/27/2010

B
North Carolina 1/22/2010

B
District of Columbia 4/27/2010

B
North Dakota 4/27/2010

B
Florida 5/15/2009

B
Ohio 5/18/2009

B
Georgia 5/15/2009

B
Oklahoma 4/27/2010

B
Hawaii 4/27/2010

B
Oregon 1/22/2010

B
Idaho 4/27/2010

B
Pennsylvania 5/15/2009

B
Illinois 5/15/2009

B
Puerto Rico 6/23/2011

IA
Illinois 5/15/2009

B
Rhode Island 4/29/2011

B
Indiana 5/15/2009

B
South Carolina 5/15/2009

B
Iowa 5/15/2009

B
South Dakota 4/27/2010

B
Kansas 1/22/2010

B
Texas 5/15/2009

B
Kentucky 4/27/2010

IA
Texas 5/15/2009

B
Louisiana 4/27/2010

B
Utah 4/27/2010

B
Maine 4/27/2010

B
Vermont 9/1/2009

B
Maryland 5/15/2009

B
Virgin Islands 6/23/2011

B
Massachusetts 1/22/2010

B
Virginia 5/15/2009

B
Michigan 1/22/2010

B
Washington 5/15/2009

B
Minnesota 1/22/2010

B
West Virginia 5/15/2009

B
Mississippi 4/27/2010

B
Wisconsin 5/15/2009

B
Missouri 11/7/2009

B
Wyoming 6/23/2011

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

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N Wacker Dr, Chicago, IL 60606
Registered with this firm since 5/15/2009

IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N Wacker Dr, Chicago, IL 60606
Registered with this firm since 5/15/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/30/2008 - 06/04/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) NORTHBROOK, IL
B
08/10/2007 - 06/04/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) OAKBROOK TERRACE, IL
B
04/02/2007 - 08/14/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) OAK BROOK, IL
B
03/14/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) OAK BROOK, IL
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Broker
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Investment Adviser
Disclosures
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