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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

TIMOTHY CHARLES LAWRENCE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TULSA, OK

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Search this name across graphsid dfx:ria:b8f0abb8-ab13-36e2-8e97-088be6aecf5d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 15, 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: Dec 10, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Dec 10, 2008
First registration: Dec 15, 2008
Dual registered: yes, broker-dealer
Other names: Tim Lawrence
IAPD individual key: 5602608

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 24, 2019	n/a	yes	TULSA, OK	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jun 11, 2019	no	BOULDER, CO\|BOULDER, CO	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 2, 2012	Oct 1, 2012	no	BOULDER, CO	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 18, 2012	no	Little Rock, AR\|Denver, CO	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 15, 2008	Jun 1, 2009	no	LITTLE ROCK, AR	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
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 11, 2019	May 24, 2019	-18	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
MORGAN STANLEY	CHASE INVESTMENT SERVICES CORP.	Jun 18, 2012	Jun 2, 2012	-16	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	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
79:7691:CO:2019-06-11	Jun 11, 2019	May 24, 2019	BOULDER, CO	Firm change

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 24, 2019 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jun 11, 2019factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 2, 2012 to Oct 1, 2012factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 18, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 15, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.