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Detailed Report
PATRICIA EILEEN BENNETT
PAT BENNETT, PATRICIA EILEEN L BENNETT
CRD#: 1248199
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 301 S 12TH ST
LINCOLN, NE 68508
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - Present (28 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - Present (28 years)
Disclosure(s)
View By:
1/27/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/29/2019
IA
Nebraska 7/13/2004
B
Alaska 2/8/2024
B
Nevada 11/29/2019
B
Arizona 3/17/1997
B
New Hampshire 11/29/2019
B
Arkansas 2/7/2007
B
New Jersey 11/29/2019
B
California 3/14/1997
B
New Mexico 1/13/2005
B
Colorado 3/14/1997
B
New York 3/14/1997
B
Connecticut 11/29/2019
B
North Carolina 3/17/1997
B
Delaware 11/10/2010
B
North Dakota 2/8/2024
B
District of Columbia 3/3/2010
B
Ohio 1/14/2005
B
Florida 3/18/1997
B
Oklahoma 10/29/2014
B
Georgia 1/11/2018
B
Oregon 3/14/1997
B
Hawaii 11/29/2019
B
Pennsylvania 1/13/2005
B
Idaho 11/29/2019
B
Puerto Rico 2/8/2024
B
Illinois 3/14/1997
B
Rhode Island 2/8/2024
B
Indiana 11/29/2019
B
South Carolina 9/30/2020
B
Iowa 3/17/1997
B
South Dakota 11/29/2019
B
Kansas 3/14/1997
B
Tennessee 8/2/2016
B
Kentucky 1/13/2005
B
Texas 3/17/1997
B
Louisiana 11/29/2019
IA
Texas 3/17/1997
B
Maine 3/17/1997
B
Utah 11/29/2019
B
Maryland 3/14/1997
B
Vermont 2/8/2024
B
Massachusetts 1/13/2005
B
Virgin Islands 2/8/2024
B
Michigan 10/21/2016
B
Virginia 6/13/2006
B
Minnesota 3/17/1997
B
Washington 3/14/1997
B
Mississippi 2/8/2024
B
West Virginia 2/8/2024
B
Missouri 3/17/1997
B
Wisconsin 3/17/1997
B
Montana 1/24/2023
B
Wyoming 11/29/2019
B
Nebraska 12/9/1996

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)
301 S 12TH ST, LINCOLN, NE 68508
Hickman, NE
Registered with this firm since 3/17/1997
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
301 S 12TH ST, LINCOLN, NE 68508
Hickman, NE
Registered with this firm since 11/25/1996
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.