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TRAVIS MATTHEW DAUGHERTY
TRAVIS DAUGHERTY
CRD#: 2753458
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
SAN FRANCISCO, CA 94104
0
Disclosures
26
Years of Experience
View By:
State Registrations
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Arizona 9/22/2010
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Nebraska 7/13/2012
B
California 10/23/2009
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Nevada 10/23/2009
IA
California 10/23/2009
B
New Jersey 7/20/2023
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Colorado 9/29/2021
B
New York 10/23/2009
B
Delaware 10/5/2023
B
Oregon 4/15/2016
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Florida 10/23/2009
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Texas 10/23/2009
B
Idaho 9/23/2022
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Texas 10/18/2012
B
Illinois 3/8/2011
B
Utah 7/8/2020
B
Michigan 8/20/2015
B
Washington 2/17/2021
B
Minnesota 7/11/2014
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Wisconsin 4/20/2022
SRO Registrations
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/18/2003 - 10/23/2009 | SAN FRANCISCO, CA | |
B | 08/18/2003 - 10/23/2009 | SAN FRANCISCO, CA | |
IA | 03/28/2002 - 08/20/2003 | SAN FRANCISCO, CA | |
B | 02/26/1999 - 08/20/2003 | NEW YORK, NY |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.