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Detailed Report
MITCHELL STEVEN BEHM
CRD#: 1494507
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 SPECTRUM CENTER DR
IRVINE, CA 92618
Registration History
199019952000200520102015202020252 FIRMS1988 - Present (36 years)BFIRST EMPIRE SECURITIES, INC. (CRD# 15129)1986 - 1988 (1 year)
Disclosure(s)
View By:
7/1/2014
Regulatory
Final
7/19/2013
Criminal
Final Disposition
5/14/2003
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 10/28/1991
B
Nevada 10/24/1991
B
California 5/2/1988
B
New Hampshire 5/27/2014
IA
California 7/8/1997
B
New Jersey 4/30/2014
B
Colorado 1/10/1991
B
New Mexico 4/29/2014
B
Connecticut 5/22/2017
B
New York 7/6/1988
B
Delaware 10/17/2022
B
North Carolina 10/26/1995
B
District of Columbia 10/17/2022
B
Oregon 9/6/2005
B
Florida 1/28/1992
B
Pennsylvania 4/29/2014
B
Georgia 10/12/1995
B
Rhode Island 4/9/2015
B
Hawaii 11/9/2001
B
South Carolina 6/23/2011
B
Idaho 12/8/2014
B
Tennessee 12/8/2014
B
Illinois 9/10/2018
IA
Texas 3/20/2014
B
Maine 6/6/2014
B
Texas 5/5/2014
B
Maryland 4/23/2018
B
Utah 10/4/1994
B
Massachusetts 1/16/1991
B
Vermont 5/7/2014
B
Michigan 11/17/2022
B
Virgin Islands 7/31/2017
B
Mississippi 5/11/2015
B
Virginia 6/28/2001
B
Missouri 9/27/1993
B
Washington 8/5/2019
B
Montana 4/26/2017
B
Wisconsin 4/11/2018
B
Nebraska 1/15/2008
B
Wyoming 12/15/2016

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

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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)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Registered with this firm since 10/28/1988
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Registered with this firm since 5/2/1988
Previous Registration(s)
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B
 06/27/1986 - 05/13/1988 FIRST EMPIRE SECURITIES, INC. (CRD#:15129)
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.