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DANIEL PAUL FOUNTAIN
CRD#: 1722150
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 132 ROYAL PALM WAY
PALM BEACH, FL 33480
Registration History
199019952000200520102015202020252 FIRMS1997 - 2003 (6 years)2 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - Present (15 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1987 - 1997 (9 years)
Disclosure(s)
View By:
8/2/1996
Customer Dispute
Settled
License(s)

State Registrations

B
Delaware 4/27/2017

B
Georgia 11/29/2016

B
Florida 10/23/2009

B
New York 2/23/2017

IA
Florida 10/23/2009

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

View Exams Passed by the individual in the detailed report

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)
132 ROYAL PALM WAY, PALM BEACH, FL 33480
Registered with this firm since 10/23/2009

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
132 ROYAL PALM WAY, PALM BEACH, FL 33480
Registered with this firm since 10/23/2009

Previous Registration(s)
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IA
10/21/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PALM BEACH, FL
B
10/14/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PALM BEACH, FL
IA
08/29/1997 - 12/18/2003 AMERICAN FINANCIAL ADVISORS INC (CRD#:108530) ORLANDO, FL
B
08/20/1997 - 10/13/2003 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
B
08/31/1987 - 07/29/1997 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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B
Broker
IA
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.