Individual Firm
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DAVID MARK STOLER
DAVID STOLER
CRD#: 2291589
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1325 FRANKLIN AVE
GARDEN CITY, NY 11530
GARDEN CITY, NY 11530
0
Disclosures
32
Years of Experience
View By:
State Registrations
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Arizona 9/9/2016
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New Jersey 8/10/2017
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California 9/9/2016
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New York 9/9/2016
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Connecticut 9/9/2016
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New York 4/19/2021
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Connecticut 9/9/2016
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North Carolina 9/9/2016
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District of Columbia 4/12/2018
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Ohio 1/10/2017
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Florida 9/9/2016
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Pennsylvania 9/9/2016
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Florida 1/13/2022
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South Carolina 11/6/2024
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Georgia 9/9/2016
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Tennessee 8/11/2017
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Illinois 9/9/2016
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Texas 9/9/2016
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Maryland 8/10/2022
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Texas 9/28/2016
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Massachusetts 4/10/2023
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Utah 10/14/2024
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New Hampshire 10/12/2017
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Virginia 9/9/2016
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New Jersey 9/9/2016
SRO Registrations
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Registered with this firm since 9/9/2016
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Registered with this firm since 9/9/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 09/19/2016 | JERICHO, NY | |
IA | 02/07/2014 - 12/31/2014 | JERICHO, NY | |
IA | 04/20/2012 - 05/11/2012 | JERICHO, NY | |
IA | 06/01/2009 - 01/28/2011 | JERICHO, NY | |
IA | 01/21/2009 - 06/01/2009 | JERICHO, NY | |
B | 01/16/2009 - 06/01/2009 | JERICHO, NY | |
IA | 02/10/2006 - 01/27/2009 | MITCHEL FIELD, NY | |
B | 10/08/2004 - 01/27/2009 | MITCHEL FIELD, NY | |
B | 11/22/1999 - 10/12/2004 | PURCHASE, NY | |
B | 12/21/1992 - 11/26/1999 | NEW YORK, NY |
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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.
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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.