Lorenzo B. Merrill
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.
Lorenzo B Merrill, who also goes by Bud Merrill, was a registered financial professional .
Lorenzo is a previously registered financial professional and started their career in finance in 1981. Lorenzo had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15 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 21, 2014 - May 29, 2015
CETERA INVESTMENT ADVISERS LLC
February 9, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
February 9, 2010 - May 29, 2015
CETERA INVESTMENT SERVICES LLC
July 17, 2007 - February 1, 2010
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
August 18, 2000 - February 1, 2010
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
June 24, 1997 - August 18, 2000
ADAMS, HESS, MOORE & CO.
March 28, 1995 - March 21, 1996
MORGAN STANLEY DW INC.
July 31, 1993 - April 18, 1995
CITIGROUP GLOBAL MARKETS INC.
April 10, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
October 6, 1983 - April 9, 1984
FOSTER & MARSHALL INC.
August 17, 1981 - October 3, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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: 1/9/1986
Foreign Currency Options ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
