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Donald L Smith
DON SMITH, DONALD LOUIS SMITH
CRD#: 2242509
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
19952000200520102015202020252 FIRMS2008 - 2010 (1 year)2 FIRMS2014 - Present (10 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2010 - 2014 (3 years)BAXA ADVISORS, LLC (CRD# 6627)1992 - 2008 (16 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1992 - 2000 (7 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2011 - 2014 (2 years)IAAXA ADVISORS, LLC (CRD# 6627)2002 - 2008 (6 years)
Disclosure(s)
View By:
1/26/2009
Regulatory
Final
License(s)

State Registrations

B
Georgia 8/28/2014

IA
Georgia 8/28/2014

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

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Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 8/28/2014

IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 8/28/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2011 - 04/14/2014 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) ATLANTA, GA
B
11/05/2010 - 04/14/2014 PRUCO SECURITIES, LLC. (CRD#:5685) ATLANTA, GA
IA
12/08/2008 - 10/19/2010 AXA ADVISORS, LLC (CRD#:6627) ATLANTA, GA
B
12/08/2008 - 10/19/2010 AXA ADVISORS, LLC (CRD#:6627) ATLANTA, GA
IA
08/14/2002 - 12/02/2008 AXA ADVISORS, LLC (CRD#:6627) ATLANTA, GA
B
05/29/1992 - 12/02/2008 AXA ADVISORS, LLC (CRD#:6627) ATLANTA, GA
B
05/29/1992 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.