Lydia Morasky
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.
Lydia Morasky, who also goes by Lydia Rose Kiebzak, Lydia Kiebzak, Lydia Rose Morasky, was a registered financial professional .
Lydia is a previously registered financial professional and started their career in finance in 1989. Lydia had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2017 - November 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2017 - November 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 2014 - January 11, 2016
RS FUNDS DISTRIBUTOR LLC
April 19, 2013 - June 2, 2014
GUARDIAN INVESTOR SERVICES LLC
January 26, 2011 - October 2, 2012
MADISON INVESTMENT ADVISORS, LLC
July 26, 2002 - December 31, 2011
MADISON INVESTMENT HOLDINGS, INC
October 25, 1999 - October 2, 2012
MFD DISTRIBUTOR, LLC
September 29, 1998 - September 3, 1999
ROBERT W. BAIRD & CO. INCORPORATED
April 2, 1998 - September 3, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 2, 1996 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
April 26, 1995 - December 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
December 1, 1993 - March 23, 1995
AFD, INC.
July 13, 1992 - November 1, 1993
FORTH FINANCIAL SECURITIES, CORPORATION
March 28, 1990 - May 23, 1991
INVESTORS BROKERAGE SERVICES, INC.
January 3, 1990 - March 26, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 23, 1989 - March 26, 1990
ROBERT W. BAIRD & CO. INCORPORATED
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 8
Date: 10/15/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
