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IAIN ANDREW SHARPE
IAIN A SHARPE
CRD#: 3210728
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - Present (25 years)
Disclosure(s)
View By:
9/26/2016
Customer Dispute
Denied
6/28/2005
Customer Dispute
Award / Judgment
9/30/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 12/26/2014

B
New Hampshire 3/1/2010

B
Arkansas 9/28/2023

B
New Jersey 1/5/2015

B
California 7/26/1999

B
New Mexico 1/9/2015

B
Colorado 2/12/2008

B
New York 5/31/2000

B
Connecticut 2/9/2016

B
North Carolina 1/12/2015

B
Delaware 11/16/2023

B
Ohio 12/3/2020

B
District of Columbia 9/19/2017

B
Oklahoma 12/2/2008

B
Florida 8/11/2000

B
Oregon 11/18/2015

B
Georgia 8/4/2006

B
Pennsylvania 12/4/2007

B
Illinois 7/15/2015

B
Tennessee 1/29/2025

B
Louisiana 4/2/2003

B
Texas 6/24/1999

B
Mississippi 3/3/2016

IA
Texas 6/24/1999

B
Montana 8/5/2024

B
Utah 12/22/2022

B
Nebraska 10/22/2020

B
Virginia 7/24/2003

B
Nevada 3/26/2013

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

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)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 6/24/1999

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 6/3/1999

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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.