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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

John RAYMOND Lembeck

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RED BANK, NJ | Marco Island, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 2, 2002 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: Oct 5, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Oct 5, 1998
First registration: May 2, 2002
Dual registered: yes, broker-dealer
Other names: JOHN R LEMBECK
IAPD individual key: 1238249

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	May 30, 2013	n/a	yes	RED BANK, NJ\|Marco Island, FL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 18, 2013	no	Shrewsbury, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Jun 1, 2009	no	SHREWSBURY, NJ\|TOMS RIVER, NJ\|NEW YORK, NY\|SHREWSBURY, NJ	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	May 2, 2002	Feb 21, 2006	no	SHREWSBURY, NJ	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 18, 2013	May 30, 2013	-19	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 30, 2013 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 18, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Jun 1, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
May 2, 2002 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.