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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

LAUREN MARIE SPIRELLI

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Scarsdale, NY | GREENWICH, CT

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Search this name across graphsid dfx:ria:9f57fd39-95cd-93fc-62b4-f45a6eb71d5a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Apr 29, 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: Jun 28, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Jun 28, 2007
First registration: Apr 29, 2008
Dual registered: yes, broker-dealer
Other names: Lauren Spirelli|Lauren Spirelli|Lauren Marie Spirelli|LAUREN MARIE KELLY
IAPD individual key: 5295389

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	Apr 4, 2022	n/a	yes	GREENWICH, CT\|Scarsdale, NY	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 3, 2018	Mar 18, 2022	no	NEW YORK, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 27, 2016	Apr 3, 2018	no	PARAMUS, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 30, 2013	Feb 28, 2015	no	NEW YORK, NY\|Long Island City, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Mar 13, 2013	no	DELRAY BEACH, FL\|DELRAY BEACH, FL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Sep 5, 2012	Oct 1, 2012	no	DELRAY BEACH, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2008	May 15, 2012	no	New York, NY\|New York, NY	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Apr 29, 2008	Oct 1, 2008	no	NEW YORK, NY\|NEW YORK, NY	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
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 18, 2022	Apr 4, 2022	17	Firm change	Ibd to wirehouse
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Apr 3, 2018	May 3, 2018	30	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 28, 2015	Apr 27, 2016	424	Firm change after gap	Other
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Mar 13, 2013	May 30, 2013	78	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	CHASE INVESTMENT SERVICES CORP.	May 15, 2012	Sep 5, 2012	113	Firm change	Other
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 1, 2008	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
7059:7691:NY:2022-03-11	Mar 18, 2022	Apr 4, 2022	NEW YORK, NY	Firm change
8174:7059:NJ:2018-04-03	Apr 3, 2018	May 3, 2018	PARAMUS, NJ	Firm change

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Apr 4, 2022 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 3, 2018 to Mar 18, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 27, 2016 to Apr 3, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Mar 13, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Sep 5, 2012 to Oct 1, 2012factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Apr 29, 2008 to Oct 1, 2008factForm ADV

Dated events

Occurred
Mar 18, 2022
Advisor changed firm
Lauren Marie Spirelli left Citigroup Global Markets Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-04-04)
Form ADVobserved 4 days ago