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
WILFORD H LAWRENCE IV
WILFORD HARRY LAWRENCE IV, WILFORD H LAWRENCE IV
CRD#: 5093757
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1040 STONY HILL RD
YARDLEY, PA 19067
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)
Disclosure(s)
View By:
11/20/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 3/8/2022
IA
New Jersey 12/14/2020
B
California 2/27/2013
B
New York 11/7/2016
B
Colorado 3/8/2022
B
North Carolina 3/3/2014
IA
Connecticut 11/13/2008
B
Ohio 3/9/2022
B
Connecticut 7/18/2014
B
Pennsylvania 11/7/2008
B
Florida 11/7/2008
IA
Pennsylvania 6/29/2010
B
Georgia 4/28/2010
B
South Carolina 5/11/2015
B
Indiana 1/22/2021
B
Tennessee 1/15/2019
B
Maryland 3/6/2018
IA
Texas 11/13/2008
B
Massachusetts 6/14/2021
B
Texas 4/3/2020
B
Nebraska 11/5/2010
B
Virginia 3/8/2022
B
Nevada 6/21/2017
B
Wisconsin 3/6/2017
B
New Jersey 11/7/2008

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)
1040 STONY HILL RD, YARDLEY, PA 19067
Medford, NJ
Registered with this firm since 11/13/2008
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1040 STONY HILL RD, YARDLEY, PA 19067
Medford, NJ
Registered with this firm since 11/7/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/01/2007 - 11/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) NEWTOWN, PA
B
 08/01/2007 - 11/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) NEWTOWN, PA
IA
 07/20/2006 - 07/24/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) VOORHEES, NJ
B
 07/20/2006 - 07/24/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) VOORHEES, NJ
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.