Individual Firm
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Jason DOUGLAS Lock
CRD#: 2103268
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
34
Years of Experience
View By:
State Registrations
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Arizona 10/23/2009
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Nevada 10/23/2009
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Arkansas 12/8/2023
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New York 10/23/2009
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California 10/23/2009
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North Carolina 10/29/2020
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California 10/23/2009
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Ohio 9/2/2021
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Colorado 4/14/2016
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Oklahoma 1/19/2022
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Florida 10/23/2009
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Oregon 10/23/2009
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Georgia 10/23/2009
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Pennsylvania 1/2/2025
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Hawaii 10/23/2009
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South Carolina 8/16/2023
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Idaho 11/7/2016
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Texas 10/23/2009
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Illinois 10/23/2009
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Texas 11/2/2012
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Indiana 10/23/2009
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Utah 3/21/2025
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Kansas 10/23/2009
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Vermont 2/9/2017
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Massachusetts 10/23/2009
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Virginia 1/7/2015
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Michigan 3/21/2025
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Washington 10/23/2009
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Minnesota 2/9/2023
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Wisconsin 6/12/2024
SRO Registrations
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/15/2005 - 10/23/2009 | PASADENA, CA | |
B | 09/15/2005 - 10/23/2009 | PASADENA, CA | |
IA | 08/07/2002 - 09/19/2005 | VALENCIA, CA | |
B | 08/07/2002 - 09/19/2005 | SAN FRANCISCO, CA | |
B | 01/31/1997 - 08/22/2002 | SACRAMENTO, CA | |
B | 07/21/1992 - 01/31/1997 | APPLETON, WI | |
B | 12/14/1990 - 08/03/1992 | NEWARK, NJ | |
B | 12/14/1990 - 08/03/1992 | NEWARK, NJ |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.