Individual Firm
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DAVID HARRIMAN WALKER
DAVID H WALKER
CRD#: 3193123
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 660 BEACHLAND BLVD
VERO BEACH, FL 32963
VERO BEACH, FL 32963
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3/3/2008
Customer Dispute
Denied
State Registrations
B
Arizona 1/22/2020
B
Nevada 9/19/2003
B
California 4/12/2004
B
New Hampshire 1/2/2018
B
Colorado 1/2/2018
B
New Jersey 1/23/2013
B
Connecticut 1/2/2018
B
New York 6/19/2000
B
Delaware 1/2/2018
B
North Carolina 9/27/2006
B
District of Columbia 9/30/2020
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North Carolina 12/10/2020
B
Florida 4/19/1999
B
North Dakota 4/30/2018
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Florida 4/19/1999
B
Oklahoma 3/21/2024
B
Georgia 1/2/2018
B
Pennsylvania 7/18/2002
B
Illinois 2/21/2013
B
Rhode Island 10/6/2023
B
Indiana 2/8/2023
B
South Carolina 1/2/2018
B
Kentucky 1/2/2018
B
Tennessee 7/8/2021
B
Maine 4/30/2018
B
Texas 1/2/2018
B
Maryland 11/17/2005
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Texas 1/3/2018
B
Massachusetts 1/22/2016
B
Vermont 2/23/2024
B
Michigan 1/2/2018
B
Virginia 5/8/2006
B
Minnesota 1/2/2018
B
Washington 4/30/2018
B
Mississippi 2/29/2024
B
Wisconsin 4/30/2018
B
Montana 2/3/2021
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 4/19/1999
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Registered with this firm since 4/15/1999
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.