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Detailed Report
DOUGLAS STUART WALKER
CRD#: 1702300
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 11951 FREEDOM DR
RESTON, VA 20190
Registration History
19901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - Present (33 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - Present (36 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1987 - 1988 (<1 year)
Disclosure(s)
View By:
8/21/2015
Customer Dispute
Denied
6/28/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/29/2005
B
New Jersey 8/10/2020
B
California 3/8/1991
B
New York 2/25/2020
B
Colorado 8/17/2011
B
North Carolina 4/15/2010
B
Delaware 5/12/2022
B
Ohio 5/12/2022
B
District of Columbia 11/23/1988
B
Oregon 7/28/1998
IA
District of Columbia 6/4/1994
B
Pennsylvania 9/3/2013
B
Florida 6/21/1989
B
South Carolina 9/21/2009
IA
Florida 11/20/2020
B
Tennessee 4/23/1996
B
Georgia 11/14/1996
IA
Texas 7/9/2018
B
Illinois 11/21/2022
B
Texas 3/5/2019
B
Indiana 6/23/2015
B
Vermont 1/16/2008
B
Maryland 4/7/1988
B
Virginia 5/18/1988
IA
Maryland 3/17/1998
IA
Virginia 7/10/1991
B
Michigan 6/7/2024

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)
11951 FREEDOM DR, RESTON, VA 20190
Palm Beach, FL
Registered with this firm since 7/10/1991
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
11951 FREEDOM DR, RESTON, VA 20190
Palm Beach, FL
Registered with this firm since 4/7/1988
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/24/1987 - 03/19/1988 LIBERTY SECURITIES CORPORATION (CRD#:14416)
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.