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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2019 (22 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - 2019 (11 years)
Disclosure(s)
View By:
6/3/2017
Financial
Final
License(s)

State Registrations

B
Arizona 7/18/2019
B
Nevada 7/18/2019
B
California 7/18/2019
B
New Jersey 7/18/2019
B
Colorado 7/18/2019
B
New Mexico 10/30/2020
B
Connecticut 11/26/2019
B
New York 7/18/2019
B
District of Columbia 7/18/2019
B
North Carolina 7/18/2019
B
Florida 7/18/2019
B
Ohio 7/18/2019
B
Georgia 7/18/2019
B
Oregon 8/19/2019
B
Indiana 11/7/2022
B
Pennsylvania 7/18/2019
B
Kansas 11/7/2022
B
Rhode Island 7/18/2019
B
Kentucky 7/18/2019
B
South Carolina 7/18/2019
B
Louisiana 7/18/2019
B
Texas 7/18/2019
B
Maryland 7/18/2019
B
Utah 7/18/2019
B
Massachusetts 7/18/2019
B
Virginia 7/18/2019
B
Mississippi 7/18/2019
IA
Virginia 7/18/2019
B
Missouri 7/18/2019
B
Washington 7/18/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
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
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
Chesapeake, VA
Registered with this firm since 7/18/2019
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
Chesapeake, VA
Registered with this firm since 7/18/2019
Previous Registration(s)
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IA
 01/05/2008 - 07/19/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NORFOLK, VA
B
 11/27/1996 - 07/19/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NORFOLK, VA
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.