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RUCHIKA GUPTA
GUPTA RUCHIKA
CRD#: 3194527
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 13355 NOEL RD
DIVISION - TEXAS SOUTH
DALLAS, TX 75240
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2003 (<1 year)2 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2015 (11 years)2 FIRMS2015 - Present (9 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (3 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2000 (1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2002 - 2003 (1 year)
License(s)

State Registrations

B
Alabama 10/13/2015

B
Montana 10/13/2015

B
Alaska 10/13/2015

B
Nebraska 10/13/2015

B
Arizona 10/13/2015

B
Nevada 10/13/2015

B
Arkansas 10/13/2015

B
New Hampshire 10/13/2015

B
California 10/13/2015

B
New Jersey 10/13/2015

B
Colorado 10/13/2015

B
New Mexico 10/13/2015

B
Connecticut 10/13/2015

B
New York 10/13/2015

B
Delaware 10/13/2015

B
North Carolina 10/14/2015

B
District of Columbia 10/13/2015

B
North Dakota 10/13/2015

B
Florida 10/13/2015

B
Ohio 10/14/2015

B
Georgia 10/13/2015

B
Oklahoma 10/13/2015

B
Hawaii 10/13/2015

B
Oregon 12/1/2015

B
Idaho 10/13/2015

B
Pennsylvania 10/13/2015

B
Illinois 10/13/2015

B
Puerto Rico 10/13/2015

B
Indiana 10/13/2015

B
Rhode Island 10/13/2015

B
Iowa 10/13/2015

B
South Carolina 10/13/2015

B
Kansas 10/13/2015

B
South Dakota 10/13/2015

B
Kentucky 10/13/2015

B
Texas 10/8/2015

B
Louisiana 10/8/2015

IA
Texas 10/12/2015

IA
Louisiana 10/23/2015

B
Utah 10/13/2015

B
Maine 10/13/2015

B
Vermont 10/13/2015

B
Maryland 10/13/2015

B
Virgin Islands 10/13/2015

B
Massachusetts 10/13/2015

B
Virginia 10/13/2015

B
Michigan 10/13/2015

B
Washington 10/13/2015

B
Minnesota 10/13/2015

B
West Virginia 10/13/2015

B
Mississippi 10/13/2015

B
Wisconsin 10/13/2015

B
Missouri 10/13/2015

B
Wyoming 10/13/2015

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 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)
13355 NOEL RD DIVISION - TEXAS SOUTH, DALLAS, TX 75240
Registered with this firm since 10/12/2015

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
13355 NOEL RD DIVISION - TEXAS SOUTH, DALLAS, TX 75240
Registered with this firm since 10/8/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/05/2004 - 10/08/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) OAKBROOK TERRAC, IL
B
03/05/2004 - 10/08/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
IA
08/11/2003 - 01/02/2004 J. B. HANAUER & CO. (CRD#:6958) CHICAGO, IL
B
08/11/2003 - 01/02/2004 J. B. HANAUER & CO. (CRD#:6958) PARSIPPANY, NJ
IA
07/01/2003 - 08/07/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) OAK BROOK TERRACE , IL
B
07/01/2003 - 08/07/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
07/25/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) OAK BROOK TERRACE, IL
B
06/16/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
03/31/1999 - 07/10/2000 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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Broker
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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.