Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ADAM D UHLAN
ADAM DANIEL UHLAN
CRD#: 1676354
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 Breckenridge, CO
View By:
7/13/2001
Customer Dispute
Settled
State Registrations
B
Alabama 5/19/2008
B
Montana 5/10/2018
B
Arizona 7/23/2014
B
New Hampshire 5/7/2015
B
California 11/14/1989
B
New Jersey 10/22/1991
B
Colorado 6/22/2021
B
New Mexico 1/3/2023
IA
Colorado 6/28/2021
B
New York 10/30/1989
B
Connecticut 9/9/2011
B
North Carolina 6/16/2004
B
District of Columbia 2/21/2023
B
Pennsylvania 9/28/2016
B
Florida 10/30/1989
B
Rhode Island 3/31/2023
IA
Florida 10/30/1989
B
South Carolina 8/9/2007
B
Georgia 7/21/2015
B
Tennessee 7/22/2004
B
Hawaii 1/23/2013
B
Texas 10/30/1989
B
Idaho 4/27/2022
IA
Texas 10/30/1989
B
Illinois 8/31/2021
B
Utah 5/6/2013
B
Kentucky 8/25/2022
IA
Utah 5/8/2013
B
Louisiana 2/8/2013
B
Virginia 10/30/2018
B
Maryland 4/11/1990
B
Washington 4/22/2014
B
Massachusetts 10/30/1989
B
West Virginia 7/7/1994
B
Michigan 7/9/2015
B
Wisconsin 3/4/2022
B
Minnesota 8/1/2024
B
Wyoming 5/10/2018
B
Missouri 9/9/2003
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/30/1989
B
Registered with this firm since 10/30/1989
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/20/1989 - 11/07/1989 | NEW YORK, NY | |
B | 05/17/1989 - 06/22/1989 | ||
B | 11/19/1987 - 06/22/1989 | ||
B | 01/03/1989 - 05/19/1989 | ||
B | 05/21/1987 - 12/22/1987 |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.