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Detailed Report
NEIL M RATWANI
NEIL MOHAN RATWANI
CRD#: 3215594
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 SPECTRUM CENTER DR
IRVINE, CA 92618
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2011 - Present (14 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2011 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2009 (7 years)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2010 - 2011 (1 year)
License(s)

State Registrations

B
Alabama 3/18/2011
B
Nebraska 3/18/2011
B
Alaska 3/18/2011
B
Nevada 3/18/2011
B
Arizona 3/18/2011
B
New Hampshire 3/18/2011
B
Arkansas 3/18/2011
B
New Jersey 3/18/2011
B
California 3/18/2011
B
New Mexico 3/18/2011
IA
California 3/18/2011
B
New York 3/18/2011
B
Colorado 3/18/2011
B
North Carolina 3/18/2011
B
Connecticut 3/18/2011
B
North Dakota 3/18/2011
B
Delaware 3/18/2011
B
Ohio 3/21/2011
B
District of Columbia 3/18/2011
B
Oklahoma 3/18/2011
B
Florida 3/18/2011
B
Oregon 3/18/2011
B
Georgia 3/18/2011
B
Pennsylvania 3/18/2011
B
Hawaii 3/18/2011
B
Puerto Rico 3/18/2011
B
Idaho 3/18/2011
B
Rhode Island 3/18/2011
B
Illinois 3/18/2011
B
South Carolina 3/18/2011
B
Indiana 3/18/2011
B
South Dakota 3/18/2011
B
Iowa 3/18/2011
B
Tennessee 3/18/2011
B
Kansas 3/18/2011
B
Texas 3/18/2011
B
Kentucky 3/18/2011
IA
Texas 3/22/2013
B
Louisiana 3/18/2011
B
Utah 3/18/2011
B
Maine 3/18/2011
B
Vermont 3/18/2011
B
Maryland 3/18/2011
B
Virgin Islands 3/18/2011
B
Massachusetts 3/18/2011
B
Virginia 3/18/2011
B
Michigan 3/18/2011
B
Washington 3/18/2011
B
Minnesota 3/18/2011
B
West Virginia 3/18/2011
B
Mississippi 3/18/2011
B
Wisconsin 3/18/2011
B
Missouri 3/18/2011
B
Wyoming 3/18/2011
B
Montana 3/18/2011

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)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Irvine, CA
Registered with this firm since 3/18/2011
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Irvine, CA
Registered with this firm since 3/18/2011
Previous Registration(s)
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IA
 01/07/2010 - 02/10/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) IRVINE, CA
B
 06/01/2009 - 02/10/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) IRVINE, CA
B
 08/07/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
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.
IA
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.