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Detailed Report
Bruce ELLIOTT Roberts
CRD#: 2310652
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 200 CENTRAL AVE
SAINT PETERSBURG, FL 33701
Registration History
19952000200520102015202020252 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - Present (15 years)BBARNETT INVESTMENTS, INC. (CRD# 14897)1997 - 1998 (<1 year)BSMITH BARNEY INC. (CRD# 7059)1993 - 1997 (4 years)BLEHMAN BROTHERS INC. (CRD# 7506)1993 - 1993 (<1 year)
Disclosure(s)
View By:
5/22/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 10/16/2019
B
Nebraska 10/16/2019
B
Arizona 5/22/2018
B
Nevada 5/31/2018
B
California 10/23/2009
B
New Hampshire 5/24/2018
B
Colorado 5/21/2018
B
New Jersey 10/23/2009
B
Connecticut 6/22/2018
B
New York 10/23/2009
B
Delaware 2/2/2022
B
North Carolina 10/23/2009
B
District of Columbia 7/11/2022
B
Ohio 10/23/2009
B
Florida 10/23/2009
B
Oregon 5/23/2018
IA
Florida 10/23/2009
B
Pennsylvania 10/23/2009
B
Georgia 10/23/2009
B
South Carolina 10/6/2020
B
Illinois 10/23/2009
B
Tennessee 10/23/2009
B
Indiana 10/23/2009
B
Texas 10/23/2009
B
Kentucky 5/23/2018
IA
Texas 10/10/2012
B
Maryland 10/23/2009
B
Vermont 11/8/2023
B
Massachusetts 10/23/2009
B
Virginia 10/23/2009
B
Michigan 10/4/2023
B
West Virginia 10/23/2019
B
Minnesota 4/18/2022
B
Wisconsin 5/9/2017

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)
200 CENTRAL AVE, SAINT PETERSBURG, FL 33701
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
200 CENTRAL AVE, SAINT PETERSBURG, FL 33701
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ST. PETERSBURG, FL
B
 04/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ST. PETERSBURG, FL
B
 07/22/1997 - 04/01/1998 BARNETT INVESTMENTS, INC. (CRD#:14897) JACKSONVILLE, FL
B
 07/31/1993 - 08/01/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 02/03/1993 - 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.