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Elizabeth ANN Sum-Slaughter
ELIZABETH ANN BROWN, BETH SUM, ELIZABETH ANN SUM, BETH SUM-SLAUGH, BETH SUM-SLAUGHTER…
CRD#: 1371798
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 4242 SIX FORKS RD
RALEIGH, NC 27609
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - Present (22 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - Present (24 years)BMURIEL SIEBERT & CO., INC. (CRD# 5376)1998 - 1998 (<1 year)BWATERHOUSE SECURITIES, INC. (CRD# 7870)1987 - 1998 (11 years)BBLINDER, ROBINSON & CO.,INC. (CRD# 5096)1985 - 1985 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2000 - 2002 (2 years)
Disclosure(s)
View By:
4/4/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 6/17/2010

B
Nevada 6/17/2010

IA
Alabama 4/4/2012

B
New Hampshire 6/17/2010

B
Alaska 6/17/2010

B
New Jersey 4/13/2000

B
Arizona 6/17/2010

IA
New Jersey 11/13/2002

B
Arkansas 6/17/2010

B
New Mexico 6/17/2010

B
California 4/13/2000

B
New York 6/17/2010

B
Colorado 6/17/2010

B
North Carolina 6/17/2010

B
Connecticut 6/17/2010

IA
North Carolina 12/15/2023

B
Delaware 6/17/2010

B
North Dakota 6/17/2010

B
District of Columbia 6/17/2010

B
Ohio 1/11/2010

B
Florida 4/14/2000

IA
Ohio 1/11/2010

B
Georgia 6/17/2010

B
Oklahoma 6/17/2010

IA
Georgia 1/25/2016

B
Oregon 6/17/2010

B
Hawaii 6/17/2010

B
Pennsylvania 6/17/2010

B
Idaho 6/17/2010

B
Puerto Rico 11/23/2011

B
Illinois 6/17/2010

B
Rhode Island 6/17/2010

B
Indiana 6/17/2010

B
South Carolina 6/17/2010

B
Iowa 6/17/2010

IA
South Carolina 12/12/2023

B
Kansas 6/17/2010

B
South Dakota 6/17/2010

B
Kentucky 6/17/2010

B
Tennessee 6/17/2010

B
Louisiana 6/17/2010

B
Texas 6/17/2010

B
Maine 6/17/2010

IA
Texas 12/6/2012

B
Maryland 6/17/2010

B
Utah 6/17/2010

B
Massachusetts 6/17/2010

B
Vermont 6/17/2010

B
Michigan 6/17/2010

B
Virgin Islands 11/18/2011

B
Minnesota 6/17/2010

B
Virginia 6/17/2010

B
Mississippi 6/17/2010

B
Washington 6/17/2010

B
Missouri 6/17/2010

B
West Virginia 6/17/2010

B
Montana 6/17/2010

B
Wisconsin 6/17/2010

B
Nebraska 6/17/2010

B
Wyoming 6/17/2010

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)
4242 SIX FORKS RD, RALEIGH, NC 27609
2024 CORPORATE CENTRE DR, MYRTLE BEACH, SC 29577
Registered with this firm since 11/13/2002

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
4242 SIX FORKS RD, RALEIGH, NC 27609
2024 CORPORATE CENTRE DR, MYRTLE BEACH, SC 29577
Registered with this firm since 4/13/2000

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/13/2000 - 11/11/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) FAYETTEVILLE, NC
B
04/20/1998 - 05/19/1998 MURIEL SIEBERT & CO., INC. (CRD#:5376) NEW YORK, NY
B
01/14/1987 - 04/29/1998 WATERHOUSE SECURITIES, INC. (CRD#:7870) OMAHA, NE
B
06/18/1985 - 09/26/1985 BLINDER, ROBINSON & CO.,INC. (CRD#:5096)
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B
Broker
IA
Investment Adviser
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.