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DAVID ALLEN REICKS
DAVE ALLEN REICKS
CRD#: 1377822
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 B ST
SAN DIEGO, CA 92101
Registration History
1985199019952000200520102015202020252 FIRMS1987 - 1989 (1 year)2 FIRMS2000 - 2009 (8 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 2000 (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1985 - 1987 (2 years)
Disclosure(s)
View By:
6/30/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 7/25/2018

B
Missouri 8/21/2023

B
California 4/10/2012

B
Nebraska 11/13/2023

IA
California 4/10/2012

B
Nevada 11/25/2019

B
Colorado 5/26/2021

B
New Jersey 9/14/2023

B
Florida 11/26/2012

B
New York 5/9/2014

B
Hawaii 12/7/2017

B
North Carolina 1/20/2017

B
Illinois 1/30/2024

B
Oregon 3/18/2019

B
Louisiana 11/28/2014

B
Pennsylvania 6/4/2019

B
Maryland 2/7/2013

B
Tennessee 4/13/2022

B
Michigan 8/28/2012

B
Virginia 7/14/2015

B
Minnesota 5/7/2020

B
Washington 8/2/2019

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)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 4/10/2012

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 4/10/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 03/20/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN DIEGO, CA
B
06/01/2009 - 03/20/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN DIEGO, CA
IA
09/14/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN DIEGO, CA
B
09/07/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN DIEGO, CA
B
08/26/1989 - 10/11/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
12/02/1987 - 06/13/1989 MONY SECURITIES CORP. (CRD#:4386) NEW YORK, NY
B
11/30/1987 - 06/13/1989 THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (CRD#:2873) NEW YORK, NY
B
06/19/1985 - 10/28/1987 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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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.