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Detailed Report
Laura Anne Banes
Laura Banes, Laura Anne Sapyta
CRD#: 7171250
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 224 VALLEY CREEK BLVD
EXTON, PA 19341
Registration History
202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 10/3/2022
B
New Mexico 10/3/2022
B
Arizona 10/3/2022
B
New York 10/3/2022
B
California 10/3/2022
B
North Carolina 10/3/2022
B
Colorado 10/3/2022
B
Ohio 10/3/2022
B
Connecticut 10/3/2022
B
Oklahoma 10/3/2022
B
Delaware 10/3/2022
B
Oregon 10/3/2022
B
District of Columbia 10/3/2022
B
Pennsylvania 10/3/2022
B
Florida 10/3/2022
IA
Pennsylvania 10/5/2022
B
Georgia 10/3/2022
B
Puerto Rico 10/3/2022
B
Illinois 10/3/2022
B
Rhode Island 10/3/2022
B
Indiana 10/3/2022
B
South Carolina 10/3/2022
B
Kentucky 10/3/2022
B
Tennessee 10/3/2022
B
Maine 10/3/2022
B
Texas 10/3/2022
B
Maryland 10/3/2022
IA
Texas 10/13/2022
B
Massachusetts 10/3/2022
B
Utah 10/3/2022
B
Minnesota 10/3/2022
B
Virginia 10/3/2022
B
Missouri 10/3/2022
B
Washington 10/3/2022
B
Montana 2/1/2024
B
West Virginia 9/12/2023
B
Nevada 12/7/2023
B
Wisconsin 10/3/2022
B
New Hampshire 10/3/2022
B
Wyoming 10/3/2022
B
New Jersey 10/3/2022

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)
224 VALLEY CREEK BLVD, EXTON, PA 19341
Registered with this firm since 10/5/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
224 VALLEY CREEK BLVD, EXTON, PA 19341
Registered with this firm since 6/10/2021
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.