Individual Firm
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RICHARD WALTER SMALLEY
RIC SMALLEY
CRD#: 1322164
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1819 MAIN ST
SARASOTA, FL 34236
SARASOTA, FL 34236
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12/28/1987
Customer Dispute
Settled
State Registrations
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Arizona 5/31/2019
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New Jersey 3/10/1997
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California 2/26/1997
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New York 4/24/1997
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Colorado 8/7/2014
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North Carolina 5/28/2003
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Connecticut 3/14/1997
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Ohio 2/26/1997
B
Delaware 5/3/2022
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Oregon 10/10/2013
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Florida 3/10/1997
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Pennsylvania 3/3/1997
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Florida 3/10/1997
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Rhode Island 1/29/2019
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Georgia 3/20/2023
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South Carolina 10/6/2020
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Illinois 8/28/2009
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Tennessee 10/10/2019
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Indiana 10/7/2013
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Texas 2/27/1997
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Louisiana 12/2/2005
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Texas 2/27/1997
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Maryland 3/13/2007
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Virginia 5/23/2013
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Massachusetts 3/3/1997
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Washington 1/10/2019
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Michigan 6/7/2002
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West Virginia 12/4/2007
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Minnesota 6/30/2010
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Wisconsin 4/28/2015
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New Hampshire 3/28/2001
SRO Registrations
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Registered with this firm since 2/27/1997
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Registered with this firm since 2/26/1997
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/27/1994 - 02/25/1997 | NEW YORK, NY | |
B | 08/24/1988 - 05/13/1994 | WEEHAWKEN, NJ | |
B | 06/03/1986 - 09/07/1988 | ||
B | 12/09/1985 - 01/02/1986 | ||
B | 10/29/1985 - 12/13/1985 | ||
B | 06/18/1985 - 11/01/1985 |
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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.