Individual Firm
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DARREN KIPNIS
CRD#: 1504568
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 101 E KENNEDY BLVD
TAMPA, FL 33602
TAMPA, FL 33602
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8/8/2011
Customer Dispute
Denied
State Registrations
B
Arizona 11/9/2009
B
Nevada 7/15/2021
B
California 9/1/2003
B
New Jersey 10/7/2002
B
Colorado 8/25/2023
B
New York 3/18/2002
B
Connecticut 1/29/2003
B
North Carolina 5/6/2009
B
Delaware 11/12/2015
B
Ohio 2/14/2023
B
Florida 3/18/2002
B
Pennsylvania 6/7/2007
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Florida 3/18/2002
B
South Carolina 7/27/2020
B
Georgia 8/18/2004
B
Tennessee 3/8/2023
B
Illinois 1/11/2005
B
Texas 5/5/2015
B
Louisiana 3/23/2017
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Texas 5/6/2015
B
Maryland 2/19/2016
B
Virginia 7/28/2006
B
Massachusetts 1/2/2018
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 3/18/2002
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Registered with this firm since 3/18/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/23/1999 - 03/13/2002 | NEW YORK, NY | |
B | 03/03/1995 - 07/27/1999 | ||
B | 12/23/1986 - 07/27/1999 | NEW YORK, NY |
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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.