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Sarah Wallace
CRD#: 6865401
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 B ST
SAN DIEGO, CA 92101
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 1/3/2022

B
Nevada 12/13/2019

B
Arizona 12/13/2019

B
New Hampshire 8/24/2023

B
California 12/6/2018

B
New Jersey 8/15/2023

IA
California 12/6/2018

B
New Mexico 12/13/2019

B
Colorado 12/13/2019

B
New York 12/13/2019

B
Connecticut 5/20/2024

B
North Carolina 12/13/2019

B
District of Columbia 11/28/2022

B
Oregon 12/13/2019

B
Florida 12/13/2019

B
Pennsylvania 12/13/2019

B
Illinois 12/13/2019

B
South Carolina 12/16/2024

B
Indiana 12/13/2019

B
South Dakota 4/12/2022

B
Maine 12/13/2019

B
Tennessee 12/13/2019

B
Maryland 7/7/2020

B
Texas 12/13/2019

IA
Maryland 12/10/2020

IA
Texas 12/13/2019

B
Massachusetts 12/13/2019

B
Utah 12/13/2019

B
Michigan 9/27/2023

B
Virginia 12/13/2019

B
Minnesota 12/13/2019

B
Washington 12/13/2019

B
Missouri 12/13/2019

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 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)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 12/6/2018

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 10/30/2018

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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.