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Sara Mooney

Chief Financial Officer at Merrill Lynch, Pierce, Fenner & Smith

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Sara Mooney is Chief Financial Officer of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a New York investment adviser managing $1.78T. Sara Mooney has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO and SIE.

Role at Merrill Lynch, Pierce, Fenner & Smith

Title on Schedule A
Chief Financial Officer
Control
Sara Mooney is not a control person of Merrill Lynch, Pierce, Fenner & Smith.
Ownership
An individual ownership band is not available in the source record.
Tenure
Sara Mooney has held the filed role since September 2025.

The firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY

Form ADV filed 24 September 2026

$1.78T AUM1,838,984 clients25,721 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO and SIE · 2025
  2. Passed Series 27 · 2023

Registrations and exams

Broker registration; no current adviser registration. Sara Mooney has passed 3 qualifying exams.

Examinations

Series 2728 August 2023
Name
Financial and Operations Principal Examination
Series 99TO13 February 2025
Name
Operations Professional Examination
SIE13 February 2025
Name
Securities Industry Essentials Examination

Individual record

Full name
Sara Rathbone Mooney
CRD
7616382
Firm
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Registration status
Broker registration; no current adviser registration

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

Common questions

Where does Sara Mooney work?

Sara Mooney has been Chief Financial Officer of Merrill Lynch, Pierce, Fenner & Smith Incorporated since September 2025.

Source: Form ADV, Schedule A, filed 24 September 2026

Does Sara Mooney have a current investment-adviser registration?

Sara Mooney has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Sara Mooney passed?

Sara Mooney has passed 3 licensing exams: the Series 27, Series 99TO and SIE. The earliest, the Series 27, was passed in August 2023.

Source: IAPD individual record, checked 18 October 2026

Leadership at Merrill Lynch, Pierce, Fenner & Smith

Sources

  1. IAPD individual record, CRD 7616382. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Merrill Lynch, Pierce, Fenner & Smith Incorporated, filed 24 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Sara Mooney or Merrill Lynch, Pierce, Fenner & Smith Incorporated and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.