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Richard L Mazur
RICHARD LIROY MAZUR, Richard Mazur
CRD#: 324278
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
19751980198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - Present (41 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - Present (46 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1973 - 1978 (5 years)
Disclosure(s)
View By:
12/18/1996
Customer Dispute
Settled
6/1/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/14/1995

B
Massachusetts 5/27/1994

B
Arkansas 10/10/2006

B
Nevada 11/20/1996

B
California 3/24/1984

B
New Hampshire 6/12/2018

IA
California 7/8/1997

B
New York 9/9/1981

B
Colorado 6/6/1986

B
North Carolina 10/26/2009

B
Connecticut 7/18/1997

B
Oregon 3/28/1990

B
District of Columbia 8/28/2012

B
Pennsylvania 2/16/1989

B
Florida 1/6/2012

B
Texas 8/23/1983

B
Georgia 6/6/2022

IA
Texas 8/23/1983

B
Idaho 11/5/1993

B
Utah 9/18/1995

B
Louisiana 3/2/1990

B
Vermont 8/27/2010

B
Maine 3/8/2010

B
Virginia 1/31/1989

B
Maryland 2/26/2008

B
Washington 2/16/1989

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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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 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Daly City, CA
Registered with this firm since 8/23/1983

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Daly City, CA
Registered with this firm since 9/26/1978

Previous Registration(s)
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B
01/02/1973 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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B
Broker
IA
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.