• Individual
  • Firm
at
in
in
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.
DONNA PFAU MCKENZIE GRIMM
DONNA PFAU MCKENZIE, DONNA ANNE PFAU, DONNA ANNE PFAUMCKENZIE, DONNA PFAUMCKENZIE
CRD#: 1771511
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
Registration History
199019952000200520102015202020252 FIRMS1993 - Present (32 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1991 (3 years)
Disclosure(s)
View By:
3/2/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/10/2015

B
New Mexico 4/21/2021

B
California 4/20/1993

B
New York 9/29/2015

B
Colorado 7/24/1998

B
North Carolina 9/14/2009

B
Connecticut 4/29/2009

B
Ohio 7/5/2024

B
Florida 2/1/2001

B
Oklahoma 9/18/2009

IA
Florida 4/30/2021

B
Oregon 1/2/2022

B
Georgia 5/22/2012

B
Pennsylvania 6/16/2021

B
Illinois 3/24/1993

B
South Carolina 5/6/2019

B
Kentucky 9/29/2006

B
Tennessee 2/23/2021

B
Louisiana 3/16/1993

B
Texas 1/6/1993

B
Massachusetts 2/14/2022

IA
Texas 1/6/1993

B
Montana 4/13/2020

B
Utah 6/10/2022

B
Nevada 8/19/1997

B
Wyoming 5/30/2023

B
New Jersey 7/20/2017

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)
2800 POST OAK BLVD, HOUSTON, TX 77056
Anna Maria, FL
Registered with this firm since 1/6/1993

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Anna Maria, FL
Registered with this firm since 1/5/1993

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/25/1987 - 05/08/1991 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.