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Detailed Report
Scott Moulton
SCOTT EDWARD MOULTON
CRD#: 4125808
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 69 STATE ST
ALBANY, NY 12207
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2013 - Present (11 years)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2004 (4 years)BFIS SECURITIES, INC. (CRD# 30533)2000 - 2000 (<1 year)IAQUICK & REILLY, INC. (CRD# 11217)2003 - 2004 (1 year)
License(s)

State Registrations

B
Alabama 9/9/2013
B
Nebraska 9/9/2013
B
Alaska 9/9/2013
B
Nevada 9/9/2013
B
Arizona 9/9/2013
B
New Hampshire 9/9/2013
B
Arkansas 9/9/2013
B
New Jersey 9/9/2013
B
California 9/9/2013
B
New Mexico 9/9/2013
B
Colorado 9/9/2013
B
New York 8/2/2013
B
Connecticut 8/2/2013
IA
New York 4/19/2021
IA
Connecticut 8/7/2013
B
North Carolina 9/9/2013
B
Delaware 9/9/2013
B
North Dakota 9/9/2013
B
District of Columbia 9/9/2013
B
Ohio 9/9/2013
B
Florida 9/9/2013
B
Oklahoma 9/9/2013
B
Georgia 9/9/2013
B
Oregon 9/9/2013
B
Hawaii 9/9/2013
B
Pennsylvania 9/9/2013
B
Idaho 9/9/2013
B
Puerto Rico 9/9/2013
B
Illinois 9/9/2013
B
Rhode Island 9/9/2013
B
Indiana 9/9/2013
B
South Carolina 9/9/2013
B
Iowa 9/9/2013
B
South Dakota 9/9/2013
B
Kansas 9/9/2013
B
Tennessee 9/9/2013
B
Kentucky 9/9/2013
B
Texas 9/9/2013
B
Louisiana 9/9/2013
IA
Texas 10/17/2013
B
Maine 9/9/2013
B
Utah 9/9/2013
B
Maryland 9/9/2013
B
Vermont 9/9/2013
B
Massachusetts 9/9/2013
B
Virgin Islands 9/9/2013
B
Michigan 9/9/2013
B
Virginia 9/9/2013
B
Minnesota 9/9/2013
B
Washington 9/9/2013
B
Mississippi 9/9/2013
B
West Virginia 9/9/2013
B
Missouri 9/9/2013
B
Wisconsin 9/9/2013
B
Montana 9/9/2013
B
Wyoming 9/9/2013

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)
69 STATE ST, ALBANY, NY 12207
Ballston Lake, NY
Registered with this firm since 8/7/2013
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
69 STATE ST, ALBANY, NY 12207
Ballston Lake, NY
Registered with this firm since 8/2/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 04/23/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ALBANY, NY
B
 10/23/2009 - 04/23/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ALBANY, NY
IA
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LATHAM, NY
B
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LATHAM, NY
IA
 04/24/2003 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) SARATOGA, NY
B
 09/25/2000 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 02/08/2000 - 09/25/2000 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
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.