Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
NEAL STEFFEN JENKINS
CRD#: 1071777
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - Present (27 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1982 - Present (42 years)
Disclosure(s)
View By:
5/4/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 7/26/2004
B
New Hampshire 3/15/2010
B
Arkansas 12/20/2017
B
New Jersey 3/9/1994
B
California 3/24/1984
B
New York 6/26/2003
IA
California 7/8/1997
B
North Carolina 3/18/2002
B
Colorado 4/22/2009
B
Ohio 6/5/2013
B
Connecticut 8/29/2001
B
Oklahoma 1/28/2019
B
Delaware 3/23/2011
B
Oregon 1/14/1988
B
District of Columbia 8/22/2017
B
Pennsylvania 12/20/2017
B
Florida 1/20/2012
B
South Carolina 1/28/2019
B
Georgia 11/28/2018
B
South Dakota 5/2/2024
B
Hawaii 4/13/2010
B
Tennessee 3/12/2024
B
Idaho 3/24/2021
IA
Texas 5/14/2013
B
Illinois 12/20/2018
B
Texas 8/19/2015
B
Kentucky 1/20/2017
B
Utah 6/8/2018
B
Maryland 3/22/1990
B
Vermont 6/17/2008
B
Massachusetts 1/4/2019
B
Virginia 12/20/2018
B
Minnesota 8/15/2019
B
Washington 3/8/1991
B
Montana 7/13/1993
B
Wisconsin 7/23/1992
B
Nebraska 1/28/2019
B
Wyoming 1/28/2019
B
Nevada 11/17/2017

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 7/8/1997
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/20/1982
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.