Laurie A. Dahle
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.
Laurie A Dahle, who also goes by Laurie A. Dahle, Laurie Ann Dahle, Laurie Ann Stahl, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1986. Laurie had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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
May 21, 2010 - May 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2010 - May 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2010 - May 26, 2010
BARCLAYS CAPITAL INC.
January 7, 2010 - May 26, 2010
BARCLAYS CAPITAL INC.
May 11, 2009 - January 5, 2010
E*TRADE SECURITIES LLC
October 10, 2008 - April 22, 2009
CITIGROUP GLOBAL MARKETS INC.
September 18, 2008 - April 22, 2009
CITIGROUP GLOBAL MARKETS INC.
February 25, 2008 - September 22, 2008
MORGAN STANLEY & CO. LLC
February 25, 2008 - September 22, 2008
MORGAN STANLEY & CO. LLC
July 1, 2002 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 1997 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 1992 - October 14, 1996
UBS FINANCIAL SERVICES INC.
April 22, 1991 - July 22, 1992
ROBERTSON, STEPHENS & COMPANY LLC
May 27, 1986 - March 30, 1987
SALOMON BROTHERS 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 8
Date: 6/21/1994
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 |
|---|---|---|
| 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.
