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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Lindsay Morganstein

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PHOENIX, AZ

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Search this name across graphsid dfx:ria:2eb2e78b-87bf-bc6f-06af-5ec74057de78

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 3, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: Aug 19, 2016
First registration: Jan 3, 2008
Dual registered: yes, broker-dealer
Other names: LINDSAY MORGANSTEIN|LINDSAY ROSE MORGANSTEIN
IAPD individual key: 5314399

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 3, 2024	n/a	yes	PHOENIX, AZ	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 9, 2022	Aug 29, 2024	no	Phoenix, AZ\|Los Angeles, CA\|Phoenix, AZ	Previous registration
ROBOTIC TRADING ADVISORS, LLC	Former SEC adviser	Oct 4, 2016	Dec 31, 2017	no	SCOTTSDALE, AZ	Previous registration
ROBOTIC TRADING ADVISORS, LLC	Former SEC adviser	Jan 15, 2014	Jul 6, 2015	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ	Previous registration
ARQUE CAPITAL, LTD.	n/a	Apr 25, 2012	Feb 19, 2013	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 29, 2010	Sep 23, 2010	no	SAN FRANCISCO, CA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Mar 23, 2009	May 17, 2010	no	Elkridge, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 3, 2008	Aug 12, 2008	no	ROCKVILLE, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 3, 2008	May 29, 2008	no	BETHESDA, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 29, 2024	Oct 3, 2024	35	Firm change	Ibd to wirehouse
ROBOTIC TRADING ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 31, 2017	Feb 9, 2022	1,501	Firm change after gap	RIA to ibd
ARQUE CAPITAL, LTD.	ROBOTIC TRADING ADVISORS, LLC	Feb 19, 2013	Jan 15, 2014	330	Firm change	Other
EQUITABLE ADVISORS, LLC	ARQUE CAPITAL, LTD.	Sep 23, 2010	Apr 25, 2012	580	Firm change after gap	Other
NEW ENGLAND SECURITIES CORPORATION	EQUITABLE ADVISORS, LLC	May 17, 2010	Jul 29, 2010	73	Firm change	Other
LPL FINANCIAL LLC	NEW ENGLAND SECURITIES CORPORATION	Aug 12, 2008	Mar 23, 2009	223	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	LPL FINANCIAL LLC	May 29, 2008	Jun 3, 2008	5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:7691:AZ:2024-08-23	Aug 29, 2024	Oct 3, 2024	PHOENIX, AZ	Firm change

Relationships

Registered with (8)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Oct 3, 2024 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 9, 2022 to Aug 29, 2024factForm ADV
→ ROBOTIC TRADING ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 4, 2016 to Dec 31, 2017factForm ADV
→ ARQUE CAPITAL, LTD.Registered adviserregistration: previous registration
Apr 25, 2012 to Feb 19, 2013factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 29, 2010 to Sep 23, 2010factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 23, 2009 to May 17, 2010factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 3, 2008 to Aug 12, 2008factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 3, 2008 to May 29, 2008factForm ADV

Dated events

Occurred
Aug 29, 2024
Advisor changed firm
Lindsay Morganstein left Ameriprise Financial Services, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-10-03)
Form ADVobserved 3 days ago