Individual Firm
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Marc JEFFRIE Oliver
CRD#: 2202393
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 19789 RINALDI ST
NORTHRIDGE, CA 91326
NORTHRIDGE, CA 91326
0
Disclosures
31
Years of Experience
View By:
State Registrations
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Arizona 7/11/2016
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Oregon 7/11/2016
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California 2/25/2015
B
Texas 7/11/2016
B
California 3/19/2015
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Texas 8/16/2016
B
Florida 7/11/2016
B
Washington 1/3/2020
B
Nevada 7/11/2016
SRO Registrations
B
B
B
B
B
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Registered with this firm since 2/25/2015
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Registered with this firm since 2/25/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/25/2013 - 03/17/2014 | LOS ANGELES, CA | |
B | 11/25/2013 - 03/17/2014 | LOS ANGELES, CA | |
IA | 11/04/2013 - 11/25/2013 | LOS ANGELES, CA | |
B | 11/04/2013 - 11/25/2013 | LOS ANGELES, CA | |
IA | 11/23/2011 - 11/04/2013 | LOS ANGELES, CA | |
B | 09/22/2008 - 11/04/2013 | LOS ANGELES, CA | |
B | 02/10/2000 - 09/03/2008 | LOS ANGELES, CA | |
B | 01/20/1993 - 02/09/2000 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.