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Susan Axelrod

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

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

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Susan Axelrod is Chief Compliance Officer of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a New York investment adviser managing $1.78T. Susan Axelrod has a current broker registration and no current investment-adviser registration and has passed the SIE and Series 14.

Role at Merrill Lynch, Pierce, Fenner & Smith

Title on Schedule A
Chief Compliance Officer
Control
Susan Axelrod is not a control person of Merrill Lynch, Pierce, Fenner & Smith.
Ownership
An individual ownership band is not available in the source record.
Tenure
Susan Axelrod has held the filed role since March 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 14 · 2025
  2. Passed SIE · 2018

Registrations and exams

Broker registration; no current adviser registration. Susan Axelrod has passed 2 qualifying exams.

Examinations

Series 147 March 2025
Name
Compliance Officer Examination
SIE14 November 2018
Name
Securities Industry Essentials Examination

Individual record

Full name
Susan F Axelrod
CRD
6949587
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 Susan Axelrod work?

Susan Axelrod has been Chief Compliance Officer of Merrill Lynch, Pierce, Fenner & Smith Incorporated since March 2025.

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

Does Susan Axelrod have a current investment-adviser registration?

Susan Axelrod 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 Susan Axelrod passed?

Susan Axelrod has passed 2 licensing exams: the SIE and Series 14. The earliest, the SIE, was passed in November 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Merrill Lynch, Pierce, Fenner & Smith

Sources

  1. IAPD individual record, CRD 6949587. 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 Susan Axelrod 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.