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RORY SPRINGFIELD
CRD#: 4149690
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
20002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - Present (18 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - Present (24 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2005 - 2006 (1 year)
Disclosure(s)
View By:
6/19/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/19/2012

B
Nebraska 9/20/2012

B
Alaska 9/13/2012

B
Nevada 1/5/2005

B
Arizona 5/1/2007

B
New Hampshire 9/13/2012

B
Arkansas 9/13/2012

B
New Jersey 9/14/2012

B
California 5/24/2000

B
New Mexico 11/6/2007

IA
California 2/13/2007

B
New York 1/5/2005

B
Colorado 1/5/2005

B
North Carolina 9/13/2012

B
Connecticut 9/14/2012

B
North Dakota 9/13/2012

B
Delaware 9/27/2012

B
Ohio 1/6/2005

B
District of Columbia 9/17/2012

B
Oklahoma 1/5/2005

B
Florida 1/5/2005

B
Oregon 1/5/2005

B
Georgia 9/13/2012

B
Pennsylvania 9/14/2012

B
Idaho 9/13/2012

B
Puerto Rico 9/10/2014

B
Illinois 1/5/2005

B
Rhode Island 9/13/2012

B
Indiana 9/13/2012

B
South Carolina 9/13/2012

B
Iowa 9/13/2012

B
South Dakota 9/13/2012

B
Kansas 9/17/2012

B
Tennessee 1/5/2005

B
Kentucky 9/13/2012

IA
Texas 9/13/2012

B
Louisiana 9/17/2012

B
Texas 9/19/2012

B
Maine 9/13/2012

B
Utah 9/13/2012

B
Maryland 9/13/2012

B
Vermont 9/13/2012

B
Massachusetts 1/5/2005

B
Virginia 9/18/2012

B
Michigan 9/14/2012

B
Washington 1/5/2005

B
Minnesota 9/13/2012

B
West Virginia 9/13/2012

B
Mississippi 9/25/2012

B
Wisconsin 9/13/2012

B
Missouri 9/13/2012

B
Wyoming 9/13/2012

B
Montana 9/13/2012

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)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 2/13/2007

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 4/5/2000

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/21/2005 - 12/31/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SAN FRANCISCO, CA
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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.