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STACEY LYNN SMITH
CRD#: 4453624
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
HOUSTON, TX 77002
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 3/4/2020

B
Massachusetts 10/23/2009

B
Alaska 4/29/2010

B
Missouri 3/4/2020

B
Arizona 10/23/2009

B
Nevada 10/23/2009

B
Arkansas 3/4/2020

B
New Jersey 4/29/2010

B
California 10/23/2009

B
New Mexico 4/29/2010

B
Colorado 10/23/2009

B
New York 10/23/2009

B
Connecticut 10/23/2009

B
North Carolina 10/23/2009

B
District of Columbia 5/2/2017

B
Ohio 12/9/2019

B
Florida 10/23/2009

B
Oklahoma 10/23/2009

B
Georgia 10/23/2009

B
Oregon 4/29/2010

B
Hawaii 4/16/2012

B
Pennsylvania 6/15/2021

B
Idaho 12/10/2021

B
South Carolina 10/4/2010

B
Illinois 10/23/2009

B
Tennessee 10/23/2009

B
Indiana 10/23/2009

B
Texas 10/23/2009

B
Iowa 3/4/2020

IA
Texas 10/23/2009

B
Kansas 1/16/2023

B
Utah 10/23/2009

B
Kentucky 1/3/2022

B
Virginia 10/23/2009

B
Louisiana 10/23/2009

B
Washington 10/23/2009

B
Maryland 10/23/2009

B
West Virginia 3/4/2020

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)
800 CAPITOL ST, HOUSTON, TX 77002
Kingwood, TX
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST, HOUSTON, TX 77002
Kingwood, TX
Registered with this firm since 10/23/2009

Previous Registration(s)
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IA
03/30/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) HOUSTON, TX
B
02/21/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) HOUSTON, TX
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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.