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Detailed Report
Luke Barnett
LUKE ELLIOTT BARNETT, Luke E Barnett
CRD#: 4191261
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 355 S MAIN ST
GREENVILLE, SC 29601
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BBOFA SECURITIES, INC. (CRD# 283942)2019 - 2020 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - 2019 (4 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2000 - 2002 (2 years)
License(s)

State Registrations

B
South Carolina 6/23/2022
IA
South Carolina 7/29/2022

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)
355 S MAIN ST, GREENVILLE, SC 29601
Registered with this firm since 7/29/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
355 S MAIN ST, GREENVILLE, SC 29601
Registered with this firm since 6/23/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/10/2019 - 11/12/2020 BOFA SECURITIES, INC. (CRD#:283942) NEW YORK, NY
B
 10/08/2014 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREENVILLE, SC
B
 07/06/2000 - 08/27/2002 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) 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.