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Detailed Report
Norman SANTOS Labrador
NORMAN SANTOS LABRADOR
CRD#: 2401844
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BTD AMERITRADE, INC. (CRD# 7870)1997 - 2006 (9 years)BKENNEDY, CABOT & CO. (CRD# 2417)1994 - 1997 (3 years)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1993 - 1994 (<1 year)
License(s)

State Registrations

B
Arizona 10/23/2009
B
Nevada 10/23/2009
B
California 10/23/2009
B
New Mexico 10/23/2009
IA
California 10/23/2009
B
New York 10/26/2022
B
Colorado 10/23/2009
B
North Carolina 8/20/2012
B
Florida 5/9/2016
B
Ohio 11/8/2016
B
Hawaii 11/3/2017
B
Oregon 10/23/2009
B
Idaho 1/6/2022
B
Tennessee 4/30/2015
B
Illinois 6/27/2023
B
Texas 10/23/2009
B
Maryland 12/13/2022
IA
Texas 10/10/2012
B
Massachusetts 2/12/2013
B
Washington 10/23/2009

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)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/05/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 01/05/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 11/07/1997 - 12/04/2006 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
B
 05/05/1994 - 11/07/1997 KENNEDY, CABOT & CO. (CRD#:2417) BEVERLY HILLS, CA
B
 10/16/1993 - 04/22/1994 SMITH BARNEY SHEARSON INC. (CRD#:7059) 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.