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Rory REGAN Barney
CRD#: 4124398
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
19801985199019952000200520102015202020252 FIRMS2006 - Present (18 years)BE*TRADE SECURITIES LLC (CRD# 29106)2000 - 2006 (5 years)IAE*TRADE ADVISORY SERVICES, INC. (CRD# 111178)2002 - 2003 (<1 year)
Disclosure(s)
View By:
6/1/1979
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 10/2/2018

B
Nevada 8/12/2019

B
California 7/18/2006

B
North Carolina 5/24/2021

IA
California 7/18/2006

B
Oregon 6/30/2021

B
Colorado 7/16/2020

B
South Dakota 1/17/2019

B
Delaware 9/17/2021

IA
Texas 1/24/2007

B
Florida 8/15/2011

B
Texas 2/1/2007

B
Illinois 7/19/2018

B
Washington 2/23/2021

B
Louisiana 4/2/2019

B
Wisconsin 12/7/2022

B
Maryland 4/26/2021

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
Registered with this firm since 7/18/2006

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 7/18/2006

Previous Registration(s)
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B
07/31/2000 - 06/15/2006 E*TRADE SECURITIES LLC (CRD#:29106) JERSEY CITY, NJ
IA
10/29/2002 - 09/22/2003 E*TRADE ADVISORY SERVICES, INC. (CRD#:111178) RANCHO CORDOVA, CA
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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.