Ross E. Lipman
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.
Ross Elliott Lipman, who also goes by Ross E Lipman, Ross Elliott Lipman, was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1988. Ross had worked at 10 firms and has passed the Series 66, Series 63, SIE 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
January 15, 2013 - April 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2013 - April 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2009 - January 21, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 4, 2009 - January 21, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 1, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
September 20, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
February 27, 2004 - November 21, 2005
RBC CAPITAL MARKETS, LLC
July 9, 1998 - December 31, 2002
WILLIAM R. HOUGH & CO.
July 6, 1998 - February 27, 2004
WILLIAM R. HOUGH & CO.
October 17, 1996 - June 29, 1998
TRUIST INVESTMENT SERVICES, INC.
January 7, 1993 - November 22, 1995
TRUIST INVESTMENT SERVICES, INC.
February 5, 1991 - April 15, 1992
MORGAN STANLEY DW INC.
February 14, 1989 - January 18, 1991
WACHOVIA SECURITIES, INC.
November 22, 1988 - February 8, 1989
UBS FINANCIAL SERVICES INC.
March 23, 1988 - October 10, 1988
CIBC WORLD MARKETS CORP.
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
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.
