Individual Firm
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Ernest GETZ McMullen
ERNIE MCMULLEN
CRD#: 2158137
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 TOWN CENTER RD
BOCA RATON, FL 33486
BOCA RATON, FL 33486
View By:
2/11/2022
Customer Dispute
Denied
State Registrations
B
Arizona 3/1/2011
B
Nevada 4/25/2017
B
California 10/23/2009
B
New Hampshire 10/28/2010
B
Colorado 3/1/2011
B
New Jersey 10/23/2009
B
Connecticut 3/4/2011
B
New York 10/23/2009
B
Delaware 9/2/2021
B
North Carolina 6/7/2010
B
District of Columbia 4/10/2013
B
Ohio 10/23/2009
B
Florida 10/23/2009
B
Oregon 3/1/2011
IA
Florida 10/23/2009
B
Pennsylvania 11/10/2010
B
Georgia 3/1/2011
B
South Carolina 10/23/2009
B
Illinois 10/23/2009
B
Tennessee 3/1/2011
B
Indiana 3/9/2017
B
Texas 10/23/2009
B
Iowa 2/1/2019
IA
Texas 10/6/2012
B
Kentucky 10/23/2009
B
Utah 11/14/2022
B
Louisiana 10/23/2009
B
Virginia 10/23/2009
B
Maryland 10/23/2009
B
Washington 3/1/2011
B
Massachusetts 10/23/2009
B
Wisconsin 10/23/2009
B
Michigan 4/21/2015
SRO Registrations
B
B
B
B
B
B
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IA
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 | 02/27/2006 - 10/23/2009 | BOCA RATON, FL | |
B | 02/24/2006 - 10/23/2009 | BOCA RATON, FL | |
IA | 11/24/1999 - 03/02/2006 | BOCA RATON, FL | |
B | 11/24/1999 - 03/02/2006 | BOCA RATON, FL | |
B | 04/20/1994 - 12/01/1999 | BOCA RATON, FL | |
B | 02/28/1992 - 09/03/1992 | NEW YORK, NY | |
B | 09/19/1991 - 02/04/1992 |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.