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Detailed Report
APRIL EILEEN LAMB
APRIL LAMB, April E Lamb
CRD#: 5740531
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 888 NW 62ND ST
FORT LAUDERDALE, FL 33309
Registration History
2010201220142016201820202022202420262 FIRMS2020 - Present (5 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2013 - 2019 (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2013 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)
License(s)

State Registrations

B
Alabama 4/4/2020
B
Oklahoma 11/4/2024
B
Connecticut 4/4/2020
B
Pennsylvania 4/4/2020
B
Florida 1/28/2020
B
Rhode Island 10/10/2023
IA
Florida 2/10/2020
B
Texas 4/6/2020
B
Georgia 4/4/2020
IA
Texas 4/15/2020
B
Massachusetts 4/4/2020
B
Utah 2/12/2025
B
New Jersey 4/4/2020
B
Virginia 11/4/2024
B
New York 4/4/2020
B
Washington 1/28/2025

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)
888 NW 62ND ST, FORT LAUDERDALE, FL 33309
1601 E OAKLAND PARK BLVD, OAKLAND PARK, FL 33334
Registered with this firm since 2/10/2020
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
888 NW 62ND ST, FORT LAUDERDALE, FL 33309
1601 E OAKLAND PARK BLVD, OAKLAND PARK, FL 33334
Registered with this firm since 1/28/2020
Previous Registration(s)
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B
 10/25/2013 - 09/09/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BOCA RATON, FL
B
 10/01/2012 - 10/16/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) BOCA RATON, FL
B
 01/07/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BOCA RATON, FL
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.