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ANTHONY JAMES LAFRANO III
CRD#: 3235378
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - Present (21 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2004 (4 years)IAMORGAN STANLEY (CRD# 7556)2000 - 2004 (3 years)
Disclosure(s)
View By:
8/2/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/4/2011

B
New Jersey 4/3/2019

B
California 2/27/2004

B
New Mexico 11/21/2017

IA
California 2/27/2004

B
New York 4/23/2014

B
Colorado 12/5/2018

B
North Carolina 1/6/2011

B
Connecticut 4/16/2018

B
Oregon 5/1/2008

B
Delaware 3/31/2015

B
Pennsylvania 1/11/2011

B
Florida 1/23/2014

B
South Carolina 11/10/2017

B
Georgia 12/5/2018

B
South Dakota 10/15/2021

B
Hawaii 7/11/2008

B
Texas 1/3/2008

B
Idaho 8/20/2019

IA
Texas 1/4/2008

B
Kansas 1/5/2018

B
Utah 10/20/2016

B
Maine 12/5/2018

B
Virginia 12/5/2018

B
Maryland 1/16/2019

B
Washington 8/31/2012

B
Montana 10/1/2018

B
Wisconsin 10/10/2018

B
Nevada 2/10/2006

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Oceanside, CA
Registered with this firm since 2/27/2004

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Oceanside, CA
Registered with this firm since 2/27/2004

Previous Registration(s)
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IA
04/13/2000 - 03/01/2004 MORGAN STANLEY (CRD#:7556) SACRAMENTO, CA
B
08/28/1999 - 03/01/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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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.