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Detailed Report
Robert OAKLEY Elrod
BOBBY ELROD
CRD#: 2386725
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 355 S MAIN ST
GREENVILLE, SC 29601
Registration History
19952000200520102015202020252 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - Present (15 years)BNATIONSSECURITIES (CRD# 32542)1993 - 1998 (4 years)
Disclosure(s)
View By:
4/11/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 11/8/2013
B
New York 10/23/2009
B
Arizona 3/30/2016
B
North Carolina 10/23/2009
B
California 6/11/2012
B
Oklahoma 7/16/2010
B
Florida 10/23/2009
B
Pennsylvania 10/23/2009
IA
Florida 10/23/2009
B
South Carolina 10/23/2009
B
Georgia 10/23/2009
IA
South Carolina 10/23/2009
IA
Georgia 10/23/2009
B
Tennessee 10/23/2009
B
Illinois 8/8/2014
IA
Texas 6/25/2013
B
Iowa 8/22/2014
B
Texas 4/26/2022
B
Maryland 10/26/2020
B
Virginia 1/4/2018
B
Minnesota 10/22/2012
B
Washington 5/9/2017
B
New Mexico 10/23/2009
B
West Virginia 2/4/2016

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)
355 S MAIN ST, GREENVILLE, SC 29601
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
355 S MAIN ST, GREENVILLE, SC 29601
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) GREENVILLE, SC
B
 01/01/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) GREENVILLE, SC
B
 09/02/1993 - 01/01/1998 NATIONSSECURITIES (CRD#:32542)
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.