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Carole A Burns
CAROLE ANN BURNS, CAROLE ANN LAMANNA, CAROLE ANN LAMBROSCHINO
CRD#: 4300455
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 159 CROCKER PARK BLVD
WESTLAKE, OH 44145
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - 2019 (5 years)2 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - Present (3 years)BPROFESSIONAL FUNDS DISTRIBUTOR... (CRD# 118787)2009 - 2011 (1 year)BNATCITY INVESTMENTS, INC. (CRD# 17490)2007 - 2009 (2 years)BFUNDS DISTRIBUTOR, INC. (CRD# 7174)2006 - 2007 (1 year)BVICTORY CAPITAL ADVISERS, INC. (CRD# 37059)2004 - 2007 (3 years)BMCDONALD INVESTMENTS INC. (CRD# 566)2001 - 2003 (2 years)IANATCITY INVESTMENTS, INC. (CRD# 17490)2008 - 2009 (1 year)
License(s)

State Registrations

B
Alabama 2/1/2022

B
Nebraska 2/1/2022

B
Alaska 2/1/2022

B
Nevada 2/1/2022

B
Arizona 2/1/2022

B
New Hampshire 2/1/2022

B
Arkansas 2/1/2022

B
New Jersey 2/1/2022

B
California 2/1/2022

B
New Mexico 2/1/2022

B
Colorado 2/1/2022

B
New York 2/1/2022

B
Connecticut 2/1/2022

B
North Carolina 2/1/2022

B
Delaware 2/1/2022

B
North Dakota 2/1/2022

B
District of Columbia 2/1/2022

B
Ohio 10/25/2021

B
Florida 12/17/2021

IA
Ohio 10/25/2021

IA
Florida 1/3/2022

B
Oklahoma 2/1/2022

B
Georgia 2/1/2022

B
Oregon 2/1/2022

B
Hawaii 2/1/2022

B
Pennsylvania 2/1/2022

B
Idaho 2/1/2022

B
Puerto Rico 2/1/2022

B
Illinois 2/1/2022

B
Rhode Island 2/1/2022

B
Indiana 2/1/2022

B
South Carolina 2/1/2022

B
Iowa 2/1/2022

B
South Dakota 2/1/2022

B
Kansas 2/1/2022

B
Tennessee 2/1/2022

B
Kentucky 2/1/2022

B
Texas 2/1/2022

B
Louisiana 2/1/2022

IA
Texas 2/16/2022

B
Maine 2/1/2022

B
Utah 2/1/2022

B
Maryland 2/1/2022

B
Vermont 2/1/2022

B
Massachusetts 2/1/2022

B
Virgin Islands 2/1/2022

B
Michigan 2/1/2022

B
Virginia 2/1/2022

B
Minnesota 2/1/2022

B
Washington 2/1/2022

B
Mississippi 2/1/2022

B
West Virginia 2/1/2022

B
Missouri 2/1/2022

B
Wisconsin 2/1/2022

B
Montana 2/1/2022

B
Wyoming 2/1/2022

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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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)
159 CROCKER PARK BLVD, WESTLAKE, OH 44145
Westlake, OH
Registered with this firm since 10/25/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
159 CROCKER PARK BLVD, WESTLAKE, OH 44145
Westlake, OH
Registered with this firm since 10/22/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/27/2020 - 08/26/2021 CITIZENS INVESTMENT SERVICES (CRD#:39550) WESTLAKE, OH
B
08/26/2020 - 08/26/2021 CITIZENS SECURITIES, INC. (CRD#:39550) WESTLAKE, OH
B
08/14/2014 - 11/20/2019 PNC FUNDS DISTRIBUTOR, LLC (CRD#:118787) CLEVELAND, OH
IA
08/08/2014 - 11/18/2019 PNC CAPITAL ADVISORS LLC (CRD#:151829) CLEVELAND, OH
IA
06/06/2011 - 08/05/2014 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
B
06/03/2011 - 08/05/2014 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
B
11/03/2009 - 05/16/2011 PROFESSIONAL FUNDS DISTRIBUTOR, LLC (CRD#:118787) PORTLAND, ME
IA
07/28/2008 - 10/30/2009 NATCITY INVESTMENTS, INC. (CRD#:17490) CLEVELAND, OH
B
06/18/2007 - 10/30/2009 NATCITY INVESTMENTS, INC. (CRD#:17490) CLEVELAND, OH
B
03/01/2006 - 05/07/2007 FUNDS DISTRIBUTOR, INC. (CRD#:7174) CLEVELAND, OH
B
01/02/2004 - 05/07/2007 VICTORY CAPITAL ADVISERS, INC. (CRD#:37059) CLEVELAND, OH
B
09/05/2001 - 12/31/2003 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
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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.