Lori A. Monte

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CRD#: 1293974

Professional summary

Lori Ann Monte was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lori is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Lori had worked at 8 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., CANTONE RESEARCH INC., FIRST UNION CAPITAL MARKETS CORP., FIRST FIDELITY BROKERS INC., PACIFICORP CAPITAL SECURITIES INC., FIRST MONTAUK SECURITIES CORP., NICHOLAS LAWRENCE & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Lori Ann Watson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 14, 2005 - August 22, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MANASQUAN, NJ

Past

March 10, 2004 - August 22, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MANASQUAN, NJ

Past

November 13, 1997 - April 3, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 19, 1997 - August 30, 1997

CANTONE RESEARCH INC.

CRD#: 26314

EATONTOWN, NJ

Past

January 2, 1996 - June 19, 1996

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 19002

CHARLOTTE, NC

Past

May 14, 1991 - January 2, 1996

FIRST FIDELITY BROKERS, INC.

CRD#: 15225

NEWARK, NJ

Past

October 3, 1989 - April 1, 1991

PACIFICORP CAPITAL SECURITIES, INC.

CRD#: 15355

Past

May 27, 1988 - June 22, 1989

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

November 10, 1987 - July 8, 1988

NICHOLAS, LAWRENCE & CO. INC.

CRD#: 17482

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(800) 637-7455

Established

Delaware since 11/10/1958

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

33,689

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

ADVICE ACCESS BROCHURE (3/21/2025)

MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)

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	Cover Page	Report
08/24/2023	Cover Page	Report
01/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Lori A. Monte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

CANTONE RESEARCH INC.

FIRST UNION CAPITAL MARKETS CORP.

FIRST FIDELITY BROKERS, INC.

PACIFICORP CAPITAL SECURITIES, INC.

FIRST MONTAUK SECURITIES CORP.

NICHOLAS, LAWRENCE & CO. INC.

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 7

Date: 6/20/1987

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUST BUT VERIFY

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