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RAVI K BHALLA
CRD#: 2998144
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2003 (<1 year)2 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - Present (15 years)BROBERTSON STEPHENS, INC. (CRD# 41271)2000 - 2001 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2000 (2 years)
Disclosure(s)
View By:
9/25/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/10/2014

B
New Hampshire 9/13/2023

B
Arizona 10/23/2009

B
New Jersey 10/23/2009

B
California 10/23/2009

B
New Mexico 4/13/2020

IA
California 10/23/2009

B
New York 10/23/2009

B
Colorado 11/12/2015

B
North Carolina 10/23/2009

B
Connecticut 12/12/2022

B
Ohio 3/5/2013

B
Delaware 10/23/2009

B
Oklahoma 2/1/2017

B
District of Columbia 1/4/2011

B
Oregon 10/23/2009

B
Florida 10/23/2009

B
Pennsylvania 10/23/2009

B
Georgia 10/23/2009

B
South Carolina 9/16/2015

B
Hawaii 5/11/2016

B
Tennessee 8/5/2021

B
Idaho 7/11/2016

IA
Texas 7/12/2012

B
Illinois 10/23/2009

B
Texas 9/16/2015

B
Kansas 3/23/2021

B
Utah 1/7/2019

B
Maryland 1/4/2011

B
Virginia 10/23/2009

B
Massachusetts 10/23/2009

B
Washington 10/23/2009

B
Minnesota 10/14/2024

B
Wisconsin 11/13/2019

B
Nevada 10/23/2009

B
Wyoming 6/8/2020

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)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/18/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN FRANCISCO, CA
B
08/18/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN FRANCISCO, CA
IA
07/29/2003 - 08/20/2003 BANC OF AMERICA SECURITIES LLC (CRD#:26091) SAN FRANCISCO, CA
B
08/07/2003 - 08/20/2003 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
B
06/19/2000 - 11/12/2001 ROBERTSON STEPHENS, INC. (CRD#:41271) SAN FRANCISCO, CA
B
02/09/1998 - 06/19/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.