Individual Firm
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KEVIN CHARLES ACKROYD
KEVIN C ACKROYD, KEVIN ACKROYD
CRD#: 4272290
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 777 E EISENHOWER PKWY
ANN ARBOR, MI 48108
ANN ARBOR, MI 48108
View By:
4/13/2011
Customer Dispute
Settled
State Registrations
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Alabama 6/2/2020
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Michigan 8/16/2011
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Arizona 9/26/2011
B
Minnesota 8/16/2011
B
California 8/16/2011
B
Montana 1/8/2019
B
Colorado 8/16/2011
B
New Jersey 8/16/2011
B
Connecticut 8/16/2011
B
New Mexico 5/11/2022
B
Delaware 8/16/2011
B
New York 8/16/2011
B
District of Columbia 8/2/2023
B
North Carolina 10/10/2011
B
Florida 8/16/2011
B
Ohio 8/16/2011
B
Georgia 8/22/2011
B
Pennsylvania 8/16/2011
B
Hawaii 7/2/2021
B
South Carolina 8/16/2011
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Illinois 8/16/2011
B
Tennessee 1/30/2012
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Indiana 8/16/2011
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Texas 8/16/2011
B
Indiana 8/17/2011
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Texas 8/16/2011
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Kentucky 1/6/2012
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Utah 11/14/2018
B
Maryland 6/16/2017
B
Virginia 8/16/2011
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Massachusetts 8/16/2011
B
Washington 8/16/2011
B
Michigan 8/16/2011
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Wisconsin 9/9/2011
SRO Registrations
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Registered with this firm since 8/16/2011
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Registered with this firm since 8/16/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/15/2002 - 08/09/2011 | ANN ARBOR, MI | |
B | 11/08/2000 - 08/09/2011 | ANN ARBOR, MI |
ANN ARBOR, MI
02/15/2002 - 08/09/2011
ANN ARBOR, MI
11/08/2000 - 08/09/2011
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.