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JOHN ANDREW RIAL
CRD#: 2276888
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10400 NE 4TH ST
BELLEVUE, WA 98004
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - Present (29 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - Present (29 years)
Disclosure(s)
View By:
4/18/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/22/1999

B
New York 1/5/2023

B
Arizona 4/21/1998

B
North Carolina 1/12/1999

B
California 6/2/1997

B
Ohio 10/31/2023

B
Colorado 7/6/2011

B
Oklahoma 1/28/2014

B
Connecticut 2/14/2007

B
Oregon 1/3/1998

B
Delaware 8/5/2008

B
Pennsylvania 11/13/1996

B
District of Columbia 4/24/2024

B
South Carolina 1/11/2023

B
Florida 10/16/1996

B
Tennessee 2/28/2024

IA
Florida 11/18/2020

IA
Texas 1/12/1999

B
Georgia 3/17/2021

B
Texas 1/15/2010

B
Hawaii 11/3/2021

B
Utah 5/23/1997

B
Idaho 9/22/2020

B
Virginia 4/10/2002

B
Maryland 10/8/2013

B
Washington 11/14/1995

B
Missouri 6/22/2020

IA
Washington 1/11/1996

B
Montana 1/28/2014

B
West Virginia 8/23/2004

B
Nevada 6/1/2004

B
Wisconsin 1/4/2023

B
New Mexico 2/3/1997

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)
10400 NE 4TH ST, BELLEVUE, WA 98004
Tampa, FL
Registered with this firm since 1/11/1996

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10400 NE 4TH ST, BELLEVUE, WA 98004
Tampa, FL
Registered with this firm since 10/20/1995

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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.