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Rosanna Lucero-Torrez

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

Albuquerque, NMCRD #1251564Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
41 yrs
States Registered
23 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 23 states
ArizonaArkansasCaliforniaColoradoFloridaGeorgiaIllinoisKansasLouisianaMarylandMassachusettsMichiganMinnesotaNew MexicoNorth CarolinaOklahomaOregonSouth CarolinaSouth DakotaTennesseeTexasUtahWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/21/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 3/22/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/14/1984
Series 24
General Securities Principal Examination
Passed 11/29/1994
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 3/23/1987

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
10/23/2009Albuquerque, NM
BANC OF AMERICA INVESTMENT SERVICES, INC.
1/2/199810/23/2009Albuquerque, NM

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. Rosanna Lucero-Torrez 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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