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Detailed Report
Peter J Hyan III
PETER J HYAN III, PETER JOSEPH HYAN III
CRD#: 1357237
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2009 (10 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1988 - 1999 (11 years)BSECURITY PACIFIC INVESTMENT FU... (CRD# 17977)1986 - 1988 (1 year)BBEAR, STEARNS & CO. (CRD# 79)1985 - 1985 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2000 - 2009 (9 years)
Disclosure(s)
View By:
7/13/2018
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/17/2019
B
North Carolina 1/26/2024
B
California 10/23/2009
B
Rhode Island 4/17/2018
IA
California 10/23/2009
B
Tennessee 9/13/2022
B
Colorado 6/14/2010
IA
Texas 9/25/2012
B
Florida 1/23/2013
B
Texas 6/25/2014
B
Hawaii 1/31/2025
B
Washington 7/17/2012
B
Massachusetts 2/28/2020
B
Wyoming 10/23/2009
B
New Mexico 10/23/2009

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

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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 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/22/2000 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) GLENDALE, CA
B
 07/12/1999 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) GLENDALE, CA
B
 07/20/1988 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 08/26/1986 - 03/14/1988 SECURITY PACIFIC INVESTMENT FUNDS, INC. (CRD#:17977) SAN FRANCISCO, CA
B
 09/24/1985 - 10/23/1985 BEAR, STEARNS & CO. (CRD#:79)
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.