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SUZANNE AUSTIN
SUZANNE EILEEN AUSTIN
CRD#: 2970671
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2012 (3 years)2 FIRMS2014 - Present (10 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2001 - 2006 (5 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 1999 (<1 year)BFIRST CHICAGO NBD INVESTMENT S... (CRD# 17516)1997 - 1999 (1 year)IAJPMORGAN SECURITIES INC (CRD# 16999)2002 - 2006 (4 years)
License(s)

State Registrations

B
Alabama 7/9/2014

B
Mississippi 9/1/2020

B
Alaska 5/1/2023

B
Missouri 2/15/2016

B
Arizona 2/15/2016

B
Nebraska 2/15/2016

B
Arkansas 2/15/2016

B
Nevada 2/15/2016

B
California 2/15/2016

B
New Hampshire 2/15/2016

B
Colorado 2/15/2016

B
New Jersey 2/15/2016

B
Connecticut 2/15/2016

B
New Mexico 2/15/2016

B
Delaware 2/15/2016

B
New York 2/15/2016

B
District of Columbia 1/18/2018

B
North Carolina 2/15/2016

B
Florida 7/9/2014

B
Ohio 2/24/2015

B
Georgia 2/15/2016

B
Oklahoma 2/15/2016

B
Hawaii 8/3/2020

B
Oregon 2/15/2016

B
Idaho 8/2/2021

B
Pennsylvania 2/15/2016

B
Illinois 7/9/2014

B
Puerto Rico 5/3/2021

IA
Illinois 7/9/2014

B
South Carolina 2/15/2016

B
Indiana 2/15/2016

B
Tennessee 2/15/2016

B
Iowa 2/15/2016

IA
Texas 7/9/2014

B
Kansas 2/15/2016

B
Texas 2/15/2016

B
Kentucky 2/15/2016

B
Utah 2/15/2016

B
Louisiana 2/15/2016

B
Vermont 9/1/2022

B
Maine 10/1/2020

B
Virginia 2/15/2016

B
Maryland 2/15/2016

B
Washington 2/15/2016

B
Massachusetts 2/15/2016

B
West Virginia 2/15/2018

B
Michigan 2/15/2016

B
Wisconsin 2/15/2016

B
Minnesota 2/15/2016

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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 7/9/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 7/9/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/01/2008 - 07/26/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) CHICAGO, IL
IA
10/01/2008 - 05/15/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) CHICAGO, IL
IA
09/27/2006 - 10/01/2008 J. P. MORGAN SECURITIES INC. (CRD#:18718) CHICAGO, IL
B
07/01/2006 - 10/01/2008 J.P. MORGAN SECURITIES INC. (CRD#:18718) CHICAGO, IL
IA
04/15/2002 - 09/27/2006 JPMORGAN SECURITIES INC (CRD#:16999) CHICAGO, IL
B
02/09/2001 - 07/01/2006 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
02/01/1999 - 04/27/1999 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
12/15/1997 - 02/01/1999 FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
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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.