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WILLIAM H NAFF
WILLIAM HOLT NAFF
CRD#: 2744636
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 601 N SECTION ST
FAIRHOPE, AL 36532
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2003 - 2014 (11 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2003 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 2003 (6 years)IARBC CAPITAL MARKETS, LLC (CRD# 31194)2007 - 2014 (6 years)
License(s)

State Registrations

B
Alabama 10/28/2014

B
Michigan 4/2/2020

IA
Alabama 10/31/2014

B
Mississippi 4/13/2015

B
Arizona 4/13/2015

B
Missouri 10/30/2015

B
Arkansas 4/13/2015

B
Nevada 1/6/2025

B
California 4/13/2015

B
New Hampshire 12/17/2020

B
Colorado 10/30/2015

B
New Jersey 3/25/2020

B
Connecticut 10/28/2014

B
New Mexico 12/17/2020

B
District of Columbia 12/17/2020

B
New York 4/13/2015

B
Florida 4/13/2015

B
North Carolina 4/13/2015

B
Georgia 4/13/2015

B
Ohio 4/13/2015

B
Hawaii 12/17/2020

B
Oregon 10/5/2018

B
Idaho 4/13/2015

B
Pennsylvania 4/13/2015

B
Illinois 12/17/2020

B
South Carolina 12/17/2020

B
Indiana 12/17/2020

B
Tennessee 4/13/2015

B
Kansas 10/30/2015

B
Texas 4/13/2015

B
Kentucky 4/13/2015

IA
Texas 4/14/2015

B
Louisiana 4/13/2015

B
Virginia 10/30/2015

B
Maine 12/17/2020

B
Washington 4/13/2015

B
Maryland 12/17/2020

B
West Virginia 12/17/2020

B
Massachusetts 12/17/2020

B
Wisconsin 12/17/2020

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 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)
601 N SECTION ST, FAIRHOPE, AL 36532
Registered with this firm since 10/31/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 N SECTION ST, FAIRHOPE, AL 36532
Registered with this firm since 10/28/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/12/2007 - 09/05/2014 RBC CAPITAL MARKETS, LLC (CRD#:31194) WESTPORT, CT
B
08/08/2003 - 09/05/2014 RBC CAPITAL MARKETS, LLC (CRD#:31194) WESTPORT, CT
B
07/01/2003 - 08/12/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
11/21/1996 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.