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Robert B Lilley JR
ROBERT B (JR) LILLEY, ROBERT BRADEN LILLEY JR, ROBERT BRADEN LILLY JR
CRD#: 2712243
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 69 STATE ST
ALBANY, NY 12207
ALBANY, NY 12207
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10/11/2002
Customer Dispute
Settled
State Registrations
B
Alabama 9/13/2023
B
New Hampshire 2/16/2001
B
Arizona 1/23/2001
B
New Jersey 2/27/1997
B
Arkansas 2/7/2024
B
New Mexico 10/28/2021
B
California 6/10/1999
B
New York 4/29/1996
B
Colorado 6/7/2000
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New York 4/19/2021
B
Connecticut 3/17/1997
B
North Carolina 1/18/2005
B
Delaware 12/20/2021
B
Ohio 5/3/2022
B
District of Columbia 7/7/2021
B
Pennsylvania 6/3/1996
B
Florida 3/4/1997
B
Rhode Island 9/17/2019
B
Georgia 10/9/2001
B
South Carolina 1/10/2007
B
Illinois 6/15/2011
B
Tennessee 11/8/2010
B
Indiana 9/10/2019
B
Texas 7/22/2011
B
Kansas 8/27/2024
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Texas 7/22/2011
B
Kentucky 12/2/2011
B
Utah 12/1/2021
B
Maine 1/20/2022
B
Vermont 4/1/2002
B
Maryland 6/3/1996
B
Virginia 12/3/1996
B
Massachusetts 6/20/1996
B
Washington 12/6/2011
B
Michigan 2/16/2001
B
Wisconsin 8/28/2024
B
Minnesota 8/27/2024
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/22/2011
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Registered with this firm since 4/10/1996
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.