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Detailed Report
SCOTT THOMAS UFFELMAN
CRD#: 1261788
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - Present (9 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (12 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1997 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1992 (8 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (7 years)
License(s)

State Registrations

B
Alaska 2/22/2021
B
Massachusetts 11/30/2017
B
Arizona 3/24/2016
B
Michigan 3/24/2016
B
California 3/24/2016
B
North Carolina 3/22/2017
IA
California 3/25/2016
B
Oregon 3/24/2016
B
Colorado 3/24/2016
B
Pennsylvania 6/13/2017
B
Connecticut 5/28/2024
IA
Texas 4/21/2016
B
District of Columbia 9/16/2019
B
Utah 10/5/2020
B
Florida 3/24/2016
B
Washington 1/3/2018
B
Idaho 3/24/2016

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 3/25/2016
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 3/24/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 04/11/2016 MORGAN STANLEY (CRD#:149777) PASADENA, CA
B
 06/01/2009 - 04/11/2016 MORGAN STANLEY (CRD#:149777) PASADENA, CA
IA
 06/14/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 05/29/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 01/01/1993 - 05/20/1997 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 05/30/1984 - 12/10/1992 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.