Role at Merrill Lynch, Pierce, Fenner & Smith
- Title on Schedule A
- State Designated Principal & Director
- Control
- Lindsay Hans is a control person of Merrill Lynch, Pierce, Fenner & Smith.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Lindsay Hans has held the filed role since January 2019.
The firm
Form ADV filed 24 September 2026
Career on record
Lindsay Hans has been registered through Merrill Lynch, Pierce, Fenner & Smith since September 2014, and before that through UBS Financial Services Inc..
- Passed Series 99TO · 2024
- Passed SIE · 2018
- – present · 12 yearsNew York, NY · Adviser representative · Firm CRD 7691
- Passed Series 65, Series 10, Series 9 and Series 3 · 2009
- UBS Financial Services Inc.– · 5 yearsLos Angeles, CA · Adviser representative · Firm CRD 8174
- Passed Series 86 · 2005
- Passed Series 87 · 2004
- Passed Series 7 and Series 63 · 2001
Registrations and exams
Lindsay Hans has a current investment-adviser registration in New Jersey, New York, Pennsylvania and Texas and has passed 10 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| New Jersey | Investment adviser representative | Approved | 24 May 2017 |
| New York | Investment adviser representative | Approved | 6 January 2022 |
| Pennsylvania | Investment adviser representative | Approved | 12 September 2014 |
| Texas | Investment adviser representative | Approved, resident | 17 October 2014 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 January 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 December 2001 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 21 May 2009 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 March 2009 |
| Series 99TO | Operations Professional Examination | 1 May 2024 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 3 | National Commodity Futures Examination | 30 December 2009 |
| Series 86 | Research Analyst Exam - Part I Analysis Module | 24 February 2005 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 12 October 2004 |
| Series 7 | General Securities Representative Examination | 1 October 2001 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Research Analyst Exam - Part I Analysis Module
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- General Securities Representative Examination
Individual record
- Full name
- Lindsay Denardo Hans
- CRD
- 4429443
- Registration status
- Investment adviser and broker registrations
- Office
- ONE BRYANT PARK, MLWM EXECUTIVE OSJ, New York, NY 10036
- Firm bio
- newsroom.bankofamerica.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Bank of America identifies Lindsay Hans as president and co-head of Merrill Wealth Management. Official firm biography
Common questions
Where does Lindsay Hans work?
Lindsay Hans has been State Designated Principal & Director of Merrill Lynch, Pierce, Fenner & Smith Incorporated since January 2019, and is a control person of the firm.
Is Lindsay Hans a financial advisor?
Yes. Lindsay Hans has a current investment-adviser registration in New Jersey, New York, Pennsylvania and Texas, through Merrill Lynch, Pierce, Fenner & Smith since September 2014, as of 17 October 2026.
How many years of experience does Lindsay Hans have?
Lindsay Hans has worked in the financial industry for 24 years as of 17 October 2026, counted from 2 January 2002, across 2 adviser firms.
What exams has Lindsay Hans passed?
Lindsay Hans has passed 10 licensing exams: the Series 7, Series 63, Series 87, Series 86, Series 65, Series 10, Series 9, Series 3, SIE and Series 99TO. The earliest, the Series 7, was passed in October 2001.
Where did Lindsay Hans work before Merrill Lynch, Pierce, Fenner & Smith?
Before Merrill Lynch, Pierce, Fenner & Smith, Lindsay Hans was registered through UBS Financial Services Inc., January 2009 to June 2014.
Where is Lindsay Hans based?
Lindsay Hans’ registered office is in New York, NY.
Leadership at Merrill Lynch, Pierce, Fenner & Smith
- Eric A SchimpfDirector & Chief Executive Officer, State Designated Principal
- Sara Rathbone MooneyChief Financial Officer
- Susan F AxelrodChief Compliance Officer
- Nancy Monir FahmyDirector
- David Carleton JR HeatonChief Legal Officer
- Vincent C. SantannaChief Operations Officer & FINOP
- David C TyrieDirector