Individual Firm
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ARMANDO RONALD OLIVIERI
CRD#: 1019665
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2 PICKWICK PLZ
GREENWICH, CT 06830
GREENWICH, CT 06830
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7/8/1993
Customer Dispute
Award / Judgment
State Registrations
B
California 2/29/2008
B
Massachusetts 2/29/2008
B
Colorado 11/3/2023
B
New Jersey 2/29/2008
B
Connecticut 2/29/2008
B
New York 2/29/2008
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Connecticut 5/3/2011
B
North Carolina 8/30/2017
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Florida 2/29/2008
B
Oregon 2/29/2008
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Florida 12/21/2015
B
Pennsylvania 1/14/2022
B
Georgia 2/29/2008
B
South Carolina 6/26/2024
B
Illinois 2/29/2008
B
South Dakota 7/1/2024
B
Indiana 9/10/2019
B
Texas 2/29/2008
B
Kansas 11/23/2015
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Texas 2/29/2008
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Kentucky 2/2/2009
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Virginia 1/3/2012
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Maryland 6/2/2009
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Washington 4/13/2018
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 2/29/2008
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Registered with this firm since 2/29/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/06/2002 - 03/17/2008 | SCARSDALE, NY | |
B | 01/03/1995 - 08/07/2002 | SCOTTSDALE, AZ | |
B | 05/12/1992 - 12/06/1994 | BROOKLYN, NY | |
B | 11/13/1987 - 05/20/1992 | APPLETON, WI | |
B | 02/10/1982 - 11/02/1987 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.