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Detailed Report
JOHN WALKER DARRAH IV
JOHN DARRAH
CRD#: 1981123
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 200 PARK AVE
NEW YORK, NY 10166
Registration History
1995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - Present (28 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - Present (30 years)
Disclosure(s)
View By:
11/13/2009
Customer Dispute
Settled
11/5/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/24/2013
B
New Mexico 7/7/2022
B
California 5/6/1994
B
New York 5/6/1994
B
Colorado 2/5/2014
IA
New York 4/19/2021
B
Connecticut 5/4/1994
B
North Carolina 10/7/2004
B
Florida 4/26/1994
B
Ohio 3/11/2010
B
Hawaii 1/11/2018
B
Oregon 10/29/2024
B
Idaho 10/22/2021
B
Pennsylvania 2/27/1996
B
Kentucky 12/9/2024
B
Rhode Island 2/6/2020
B
Louisiana 4/13/2016
B
South Carolina 12/21/2015
B
Maine 2/15/2011
B
Tennessee 9/24/2009
B
Maryland 9/19/2008
B
Texas 4/4/1996
B
Massachusetts 9/16/1994
IA
Texas 4/4/1996
B
Michigan 3/12/2024
B
Utah 7/31/2009
B
Minnesota 6/27/2024
IA
Utah 10/17/2012
B
Missouri 9/11/2017
B
Virginia 1/28/2008
B
Nevada 5/25/2012
B
Washington 8/27/2018
B
New Jersey 5/6/1994
B
Wisconsin 12/12/2016

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)
200 PARK AVE, NEW YORK, NY 10166
PARK CITY, UT
Registered with this firm since 4/4/1996
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
200 PARK AVE, NEW YORK, NY 10166
PARK CITY, UT
Registered with this firm since 4/22/1994
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.