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Detailed Report
ROBERT EDWARD DEFALCO
ROBERT E DEFALCO
CRD#: 2774920
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
Registration History
199820002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - Present (27 years)
License(s)

State Registrations

B
Alabama 3/30/2020
B
Nebraska 3/30/2020
B
Alaska 3/30/2020
B
Nevada 3/30/2020
B
Arizona 3/30/2020
B
New Hampshire 3/30/2020
B
Arkansas 3/30/2020
B
New Jersey 3/30/2020
B
California 3/30/2020
B
New Mexico 3/30/2020
B
Colorado 3/30/2020
B
New York 3/30/2020
B
Connecticut 3/30/2020
B
North Carolina 3/30/2020
B
Delaware 3/30/2020
B
North Dakota 3/30/2020
B
District of Columbia 3/30/2020
B
Ohio 3/31/2020
B
Florida 3/30/2020
B
Oklahoma 3/30/2020
B
Georgia 3/30/2020
B
Oregon 3/30/2020
B
Hawaii 3/30/2020
B
Pennsylvania 4/2/2018
B
Idaho 3/30/2020
IA
Pennsylvania 4/2/2018
B
Illinois 3/30/2020
B
Puerto Rico 3/30/2020
B
Indiana 3/30/2020
B
Rhode Island 3/30/2020
B
Iowa 3/30/2020
B
South Carolina 3/30/2020
B
Kansas 3/30/2020
B
South Dakota 3/30/2020
B
Kentucky 3/30/2020
B
Texas 3/30/2020
B
Louisiana 3/30/2020
IA
Texas 3/31/2020
B
Maine 3/30/2020
B
Utah 3/30/2020
B
Maryland 3/30/2020
B
Vermont 3/30/2020
B
Massachusetts 3/30/2020
B
Virgin Islands 3/30/2020
B
Michigan 3/30/2020
B
Virginia 3/30/2020
B
Minnesota 3/30/2020
B
Washington 3/30/2020
B
Mississippi 3/30/2020
B
West Virginia 3/30/2020
B
Missouri 3/30/2020
B
Wisconsin 3/30/2020
B
Montana 3/30/2020
B
Wyoming 3/30/2020

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

View Exams Passed by the individual in the detailed report

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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)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 4/2/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 10/2/1997
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.