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Detailed Report
SANDRA CLAY MCDEARMAN
SANDRA D CLAY, SANDRA C MCDEARMAN, Sandra McDEARMAN
CRD#: 2678146
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 6060 POPLAR AVE
MEMPHIS, TN 38119
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2010 - 2011 (1 year)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2017 (6 years)2 FIRMS2018 - Present (7 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2007 - 2008 (<1 year)BSTEPHENS INC. (CRD# 3496)2001 - 2007 (6 years)BJ.C. BRADFORD & CO. (CRD# 1287)1995 - 1997 (1 year)
License(s)

State Registrations

B
Alabama 2/13/2018
B
Mississippi 2/13/2018
B
Arizona 2/13/2018
B
Missouri 2/13/2018
B
Arkansas 2/13/2018
B
Nevada 2/27/2018
B
California 2/13/2018
B
New Mexico 2/13/2018
B
Colorado 2/13/2018
B
New York 2/13/2018
B
Connecticut 3/7/2019
B
North Carolina 2/14/2018
B
Florida 2/13/2018
B
Ohio 2/28/2018
B
Georgia 2/13/2018
B
Oklahoma 2/27/2018
B
Hawaii 2/13/2018
B
Pennsylvania 2/23/2018
B
Illinois 2/13/2018
B
South Carolina 3/7/2019
B
Indiana 2/13/2018
B
Tennessee 1/11/2018
B
Kansas 2/13/2018
IA
Tennessee 1/22/2018
B
Kentucky 2/15/2023
B
Texas 2/13/2018
B
Louisiana 2/13/2018
IA
Texas 2/13/2018
B
Maine 6/18/2024
B
Virginia 2/13/2018
B
Maryland 2/13/2018
B
Washington 1/16/2023
B
Michigan 2/13/2018
B
Wisconsin 6/18/2024

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)
6060 POPLAR AVE, MEMPHIS, TN 38119
Registered with this firm since 1/22/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
6060 POPLAR AVE, MEMPHIS, TN 38119
Registered with this firm since 1/11/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/15/2011 - 12/18/2017 STEPHENS (CRD#:3496) MEMPHIS, TN
B
 09/15/2011 - 12/18/2017 STEPHENS (CRD#:3496) MEMPHIS, TN
IA
 07/05/2011 - 10/11/2011 LPL FINANCIAL LLC (CRD#:6413) GERMANTOWN, TN
B
 07/05/2011 - 10/11/2011 LPL FINANCIAL LLC (CRD#:6413) GERMANTOWN, TN
IA
 03/19/2010 - 07/05/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) GERMANTOWN, TN
B
 03/23/2010 - 07/05/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) GERMANTOWN, TN
IA
 03/19/2008 - 07/14/2009 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) BRENTWOOD, TN
B
 03/13/2008 - 07/14/2009 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) BRENTWOOD, TN
B
 11/02/2007 - 03/17/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) MEMPHIS, TN
B
 11/13/2001 - 11/05/2007 STEPHENS INC. (CRD#:3496) MEMPHIS, TN
B
 12/20/1995 - 11/05/1997 J.C. BRADFORD & CO. (CRD#:1287) 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.