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Detailed Report
MERCEDES B NOLA
CRD#: 2369811
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 77 BROAD ST
RED BANK, NJ 07701
Registration History
1995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - Present (17 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2007 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2000 (<1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1998 - 1999 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1993 - 1998 (5 years)
License(s)

State Registrations

B
New Jersey 6/22/2010
IA
Texas 3/4/2014
IA
New Jersey 2/6/2014

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

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)
77 BROAD ST, RED BANK, NJ 07701
Registered with this firm since 2/6/2014
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
77 BROAD ST, RED BANK, NJ 07701
Registered with this firm since 4/4/2007
Previous Registration(s)
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B
 11/09/2000 - 03/07/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) MANALAPAN, NJ
B
 10/22/1999 - 09/15/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 12/22/1998 - 11/11/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 08/31/1993 - 11/17/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.