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Detailed Report
ELIZABETH KATHERINE ROECKER
ELIZABETH KATHERINE GUEST, LIZ GUEST, ELIZABETH ROECKER, LIZ ROECKER
CRD#: 4053865
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 N19 W24400 RIVERWOOD DR
WAUKESHA, WI 53188
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2017 (10 years)2 FIRMS2017 - Present (8 years)BWELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD# 133366)2005 - 2006 (1 year)BSTRONG INVESTMENTS, INC. (CRD# 15658)1999 - 2005 (5 years)
License(s)

State Registrations

B
Alabama 2/23/2017
B
Nevada 2/23/2017
B
Alaska 2/23/2017
B
New Hampshire 2/23/2017
B
Arizona 2/23/2017
B
New Jersey 2/23/2017
B
Arkansas 2/23/2017
B
New Mexico 2/23/2017
B
California 2/23/2017
B
New York 2/23/2017
B
Colorado 2/23/2017
B
North Carolina 2/23/2017
B
Connecticut 2/23/2017
B
North Dakota 2/23/2017
B
Delaware 2/23/2017
B
Ohio 2/23/2017
B
District of Columbia 2/23/2017
B
Oklahoma 2/23/2017
B
Florida 2/23/2017
B
Oregon 2/23/2017
B
Georgia 2/23/2017
B
Pennsylvania 2/23/2017
B
Hawaii 2/23/2017
B
Puerto Rico 2/23/2017
B
Idaho 2/23/2017
B
Rhode Island 2/23/2017
B
Illinois 2/23/2017
B
South Carolina 2/23/2017
B
Indiana 2/23/2017
B
South Dakota 2/23/2017
B
Iowa 2/23/2017
B
Tennessee 2/23/2017
B
Kansas 2/23/2017
B
Texas 2/23/2017
B
Kentucky 2/23/2017
IA
Texas 2/23/2017
B
Louisiana 2/23/2017
B
Utah 2/23/2017
B
Maine 2/23/2017
B
Vermont 2/23/2017
B
Maryland 2/23/2017
B
Virgin Islands 2/23/2017
B
Massachusetts 2/23/2017
B
Virginia 2/23/2017
B
Michigan 2/23/2017
B
Washington 2/23/2017
B
Minnesota 2/23/2017
B
West Virginia 2/23/2017
B
Mississippi 2/23/2017
B
Wisconsin 2/22/2017
B
Missouri 2/23/2017
IA
Wisconsin 2/22/2017
B
Montana 2/23/2017
B
Wyoming 2/23/2017
B
Nebraska 2/23/2017

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)
N19 W24400 RIVERWOOD DR, WAUKESHA, WI 53188
North Prairie, WI
Registered with this firm since 2/22/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
N19 W24400 RIVERWOOD DR, WAUKESHA, WI 53188
North Prairie, WI
Registered with this firm since 2/22/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/17/2006 - 02/16/2017 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 08/17/2006 - 02/16/2017 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 04/01/2005 - 08/17/2006 WELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD#:133366) MENOMONEE FALLS, WI
B
 11/26/1999 - 04/07/2005 STRONG INVESTMENTS, INC. (CRD#:15658) MENOMONEE FALLS, WI
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.