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Lisa Fiorito Mackessy

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Florham Park, NJCRD #4607020Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
1 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
New Jersey
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/29/2010
Series 63
Uniform Securities Agent State Law Examination
Passed 11/11/2006
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 6/23/2017
Series 7
General Securities Representative Examination
Passed 12/5/2002
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 12/16/2008
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 10/24/2008
Series 24
General Securities Principal Examination
Passed 1/20/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/31/2024Florham Park, NJ
CITIGROUP GLOBAL MARKETS INC.
1/3/201110/21/2024Short Hills, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lisa Fiorito Mackessy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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