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Detailed Report
RICHARD CARL STRAND
CRD#: 1909679
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1331 N CALIFORNIA BLVD
WALNUT CREEK, CA 94596
Registration History
19901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - Present (27 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - Present (36 years)
Disclosure(s)
View By:
3/24/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/25/1999
B
Nevada 6/18/1993
B
California 1/24/1989
B
New York 8/5/2021
IA
California 7/8/1997
B
North Carolina 6/16/2015
B
Colorado 5/27/2022
B
North Dakota 3/30/2007
B
Florida 7/21/2023
B
Ohio 1/17/1991
B
Georgia 3/2/2015
B
Oregon 4/7/1995
B
Hawaii 3/19/2010
B
South Carolina 1/6/2015
B
Idaho 4/22/1999
B
Tennessee 10/13/2021
B
Illinois 9/16/2014
B
Texas 6/11/1999
B
Indiana 8/5/2021
IA
Texas 6/11/1999
B
Kentucky 6/18/2014
B
Virginia 1/13/2010
B
Maryland 1/4/2022
B
Washington 6/24/1991
B
Missouri 10/1/2020

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)
1331 N CALIFORNIA BLVD, WALNUT CREEK, CA 94596
Registered with this firm since 7/8/1997
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1331 N CALIFORNIA BLVD, WALNUT CREEK, CA 94596
Registered with this firm since 1/24/1989
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.