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Lisa Marie Balducci
Lisa M Balducci, Lisa Balducci
CRD#: 4809939
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1616 E BROAD ST
STATESVILLE, NC 28625
Registration History
200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - Present (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - Present (4 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2018 - 2019 (<1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2017 - 2018 (<1 year)BM&T SECURITIES, INC. (CRD# 17358)2004 - 2017 (13 years)
Disclosure(s)
View By:
9/18/2020
Financial
Final
License(s)

State Registrations

B
Florida 3/10/2021

B
Tennessee 3/10/2021

B
Georgia 3/10/2021

IA
Texas 3/9/2021

B
Kentucky 3/23/2021

B
Texas 3/10/2021

B
North Carolina 11/15/2020

B
Virginia 3/11/2021

IA
North Carolina 2/22/2021

B
West Virginia 9/18/2023

B
South Carolina 3/10/2021

B
Wisconsin 9/17/2024

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)
1616 E BROAD ST, STATESVILLE, NC 28625
Registered with this firm since 2/22/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1616 E BROAD ST, STATESVILLE, NC 28625
Registered with this firm since 11/6/2020

Previous Registration(s)
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B
10/18/2018 - 09/25/2019 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) HUNTERSVILLE, NC
B
07/26/2017 - 02/14/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) DEPEW, NY
B
06/18/2004 - 06/26/2017 M&T SECURITIES, INC. (CRD#:17358) BUFFALO, NY
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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.