Lucy A. Herrin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lucy Ann Herrin, who also goes by Lucy Ann Bieker, Lucy Ann Bieker Herrin, was a registered financial professional .
Lucy is a previously registered financial professional and started their career in finance in 1981. Lucy had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2016 - June 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2016 - June 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2010 - August 16, 2016
MORGAN STANLEY
December 6, 2004 - March 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2004 - March 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1992 - September 13, 2004
MORGAN STANLEY DW INC.
June 16, 1987 - September 13, 2004
MORGAN STANLEY DW INC.
June 19, 1984 - July 6, 1987
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 24, 1983 - June 19, 1984
UBS FINANCIAL SERVICES INC.
January 4, 1982 - February 19, 1983
CITIGROUP GLOBAL MARKETS INC.
October 9, 1981 - November 9, 1981
STIX & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 4/11/1984
Foreign Currency Options ExaminationSeries 5
Date: 6/22/1982
Interest Rate Options ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
