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Detailed Report
Carlos A Escobar
CRD#: 2240225
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
19952000200520102015202020252 FIRMS1993 - 1993 (<1 year)2 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2009 (10 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1994 - 1999 (4 years)BSEPULVEDA & SMITH SECURITIES, INC. (CRD# 6285)1994 - 1994 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2009 (11 years)
Disclosure(s)
View By:
9/13/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/25/2024
B
Illinois 9/18/2020
B
California 10/23/2009
B
Maryland 12/12/2023
IA
California 10/23/2009
B
Minnesota 7/6/2018
B
Colorado 1/27/2022
B
Nevada 3/11/2021
B
Florida 8/16/2022
B
New York 11/19/2009
IA
Georgia 10/23/2009
IA
Texas 2/15/2013
B
Georgia 11/3/2020
B
Texas 5/23/2022
B
Hawaii 8/5/2024
B
Washington 12/17/2024

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)
800 E COLORADO BLVD, PASADENA, CA 91101
San Gabriel, CA
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
San Gabriel, CA
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/12/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CITY OF COMMERCE, CA
B
 07/12/1999 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CITY OF COMMERCE, CA
B
 10/12/1994 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 02/03/1994 - 10/14/1994 SEPULVEDA & SMITH SECURITIES, INC. (CRD#:6285) LONG BEACH, CA
B
 07/31/1993 - 12/20/1993 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
B
 04/15/1993 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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.