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RAUL ANDREW ABALLI
RALEIGH ABALLI
CRD#: 1622075
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3550 VINE ST
RIVERSIDE, CA 92507
Registration History
19901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - Present (27 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - Present (37 years)BBARABAN SECURITIES, INC. (CRD# 7659)1987 - 1987 (<1 year)
Disclosure(s)
View By:
3/8/2004
Customer Dispute
Settled
10/23/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 11/22/2011

B
Nebraska 11/21/2011

B
Alaska 11/16/2011

B
Nevada 11/23/1994

B
Arizona 2/2/1995

B
New Hampshire 11/17/2011

B
Arkansas 11/16/2011

B
New Jersey 11/17/2011

B
California 5/28/1987

B
New Mexico 11/16/2011

IA
California 7/8/1997

B
New York 11/16/2011

B
Colorado 6/20/2006

B
North Carolina 11/9/2011

B
Connecticut 11/21/2011

B
North Dakota 11/17/2011

B
Delaware 11/22/2011

B
Ohio 11/18/2011

B
District of Columbia 11/23/2011

B
Oklahoma 11/30/2011

B
Florida 11/16/2011

B
Oregon 5/9/1991

B
Georgia 10/9/2003

B
Pennsylvania 3/4/1999

B
Hawaii 11/16/2011

B
Puerto Rico 11/18/2011

B
Idaho 11/16/2011

B
Rhode Island 11/17/2011

B
Illinois 11/16/2011

B
South Carolina 11/21/2011

B
Indiana 11/16/2011

B
South Dakota 11/15/2011

B
Iowa 11/16/2011

B
Tennessee 7/18/2006

B
Kansas 11/18/2011

IA
Texas 1/5/2005

B
Kentucky 11/16/2011

B
Texas 11/29/2011

B
Louisiana 11/21/2011

B
Utah 3/29/1995

B
Maine 11/18/2011

B
Vermont 11/29/2011

B
Maryland 11/16/2011

B
Virgin Islands 11/18/2011

B
Massachusetts 11/21/2011

B
Virginia 11/16/2011

B
Michigan 11/18/2011

B
Washington 2/12/1990

B
Minnesota 11/16/2011

B
West Virginia 11/16/2011

B
Mississippi 11/16/2011

B
Wisconsin 11/16/2011

B
Missouri 12/22/2011

B
Wyoming 11/22/2011

B
Montana 11/16/2011

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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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)
3550 VINE ST, RIVERSIDE, CA 92507
Riverside, CA
Registered with this firm since 7/8/1997

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3550 VINE ST, RIVERSIDE, CA 92507
Riverside, CA
Registered with this firm since 5/28/1987

Previous Registration(s)
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B
02/26/1987 - 06/15/1987 BARABAN SECURITIES, INC. (CRD#:7659)
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B
Broker
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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.