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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

LISA FLEISCHER SOMLO

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHBROOK, IL

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Search this name across graphsid dfx:ria:eef8675c-7f94-8b39-4169-1a3a0aa01bb0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 20, 2014 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: May 20, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 20, 2014
First registration: May 20, 2014
Dual registered: yes, broker-dealer
Other names: LISA FLEISCHER|LISA SUSAN FLEISCHER|Lisa Fleischer|Lisa Somlo|Lisa S Fleischer|Lisa S Somlo|Lisa Susan Somlo|Lisa Susan Fleischer Somlo|Lisa S Fleischer Somlo|Lisa Fleischer Somlo|LISA F SOMLO|LISA Fleischer SOMLO|Lisa F. Somlo
IAPD individual key: 1932536

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	Jun 2, 2026	n/a	yes	NORTHBROOK, IL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Aug 16, 2023	May 18, 2026	no	CHICAGO, IL\|CHICAGO, IL\|GLENVIEW, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 30, 2018	Aug 6, 2023	no	DEERFIELD, IL	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Mar 31, 2016	Apr 21, 2017	no	SKOKIE, IL	Previous registration
COE CAPITAL MANAGEMENT, LLC	Former SEC adviser	May 20, 2014	Nov 20, 2015	no	DEERFIELD, IL	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
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 18, 2026	Jun 2, 2026	15	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Aug 6, 2023	Aug 16, 2023	10	Firm change	Wirehouse to wirehouse
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	J.P. MORGAN SECURITIES LLC	Apr 21, 2017	Jul 30, 2018	465	Firm change after gap	Other
COE CAPITAL MANAGEMENT, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Nov 20, 2015	Mar 31, 2016	132	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 2, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 16, 2023 to May 18, 2026factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 30, 2018 to Aug 6, 2023factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Mar 31, 2016 to Apr 21, 2017factForm ADV
→ COE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 20, 2014 to Nov 20, 2015factForm ADV

Dated events

Occurred
May 18, 2026
Advisor changed firm
Lisa Fleischer Somlo left Wells Fargo Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-06-02)
Form ADVobserved 5 days ago
Occurred
Aug 6, 2023
Advisor changed firm
Lisa Fleischer Somlo left J.P. Morgan Securities Llc for Wells Fargo Advisors (registered 2023-08-16)
Form ADVobserved 5 days ago