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Detailed Report
Tina Marie Swanson
TINA MARIE DELICH, Tina M Delich, Tina Marie Delich, TINA M SWANSON, TINA MARIE SWANSON
CRD#: 3072926
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 219 MAIN ST N
STILLWATER, MN 55082
Registration History
2010201220142016201820202022202420262 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - 2021 (<1 year)2 FIRMS2021 - Present (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2017 (7 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2017 (7 years)
License(s)

State Registrations

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Alabama 10/11/2022
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Montana 10/11/2022
B
Alaska 10/11/2022
B
Nebraska 10/11/2022
B
Arizona 10/11/2022
B
Nevada 10/11/2022
B
Arkansas 10/11/2022
B
New Hampshire 9/14/2022
B
California 10/11/2022
B
New Jersey 10/11/2022
B
Colorado 10/11/2022
B
New Mexico 10/11/2022
B
Connecticut 8/23/2022
B
New York 10/11/2022
B
Delaware 10/11/2022
B
North Carolina 10/11/2022
B
District of Columbia 10/11/2022
B
North Dakota 10/11/2022
B
Florida 5/11/2021
B
Ohio 10/11/2022
B
Georgia 10/11/2022
B
Oklahoma 10/11/2022
B
Hawaii 10/11/2022
B
Oregon 10/11/2022
B
Idaho 10/11/2022
B
Pennsylvania 10/11/2022
B
Illinois 9/12/2022
B
Puerto Rico 10/11/2022
B
Indiana 10/11/2022
B
Rhode Island 10/11/2022
B
Iowa 10/11/2022
B
South Carolina 10/11/2022
B
Kansas 10/11/2022
B
South Dakota 10/11/2022
B
Kentucky 10/11/2022
B
Tennessee 10/11/2022
B
Louisiana 10/11/2022
B
Texas 10/11/2022
B
Maine 10/11/2022
IA
Texas 10/13/2022
B
Maryland 10/11/2022
B
Utah 10/11/2022
B
Massachusetts 10/11/2022
B
Vermont 10/11/2022
B
Michigan 10/11/2022
B
Virginia 10/11/2022
B
Minnesota 3/1/2021
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Washington 10/11/2022
IA
Minnesota 3/1/2021
B
West Virginia 10/11/2022
B
Mississippi 10/11/2022
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Wisconsin 3/1/2021
B
Missouri 10/11/2022
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Wyoming 10/11/2022

SRO Registrations

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 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

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
219 MAIN ST N, STILLWATER, MN 55082
Stillwater, MN
Registered with this firm since 3/1/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
219 MAIN ST N, STILLWATER, MN 55082
Stillwater, MN
Registered with this firm since 3/1/2021
Previous Registration(s)
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 05/20/2020 - 02/24/2021 THRIVENT ADVISOR NETWORK, LLC (CRD#:304569) Lake Elmo, MN
B
 07/16/2020 - 02/23/2021 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Lake Elmo, MN
IA
 08/02/2017 - 07/15/2020 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) Lake Elmo, MN
B
 08/02/2017 - 07/15/2020 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) Lake Elmo, MN
IA
 04/22/2010 - 08/02/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
B
 09/29/2009 - 08/02/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
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.
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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.