Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SEAN M GORMAN
CRD#: 4292430
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2301 SE MONTEREY RD
STUART, FL 34996
STUART, FL 34996
View By:
10/21/2008
Customer Dispute
Settled
3/20/2008
Customer Dispute
Settled
State Registrations
B
Arizona 12/1/2015
B
Missouri 4/21/2011
B
California 4/21/2011
B
New Jersey 4/21/2011
B
Colorado 3/8/2023
B
New Mexico 4/21/2011
B
District of Columbia 2/29/2012
B
New York 4/21/2011
B
Florida 4/21/2011
B
North Carolina 4/21/2011
IA
Florida 7/18/2022
B
Ohio 4/21/2011
B
Georgia 4/27/2015
B
Pennsylvania 4/22/2016
B
Illinois 4/21/2011
B
Rhode Island 8/16/2021
IA
Illinois 4/21/2011
B
Tennessee 8/1/2018
B
Indiana 4/8/2015
IA
Texas 4/21/2011
B
Kansas 2/14/2017
B
Texas 5/6/2014
B
Maryland 2/9/2012
B
Washington 9/30/2020
B
Massachusetts 4/21/2011
B
Wisconsin 1/23/2016
B
Michigan 4/21/2011
B
Wyoming 4/21/2011
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/21/2011
B
Registered with this firm since 4/21/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2008 - 04/28/2011 | WINNETKA, IL | |
B | 10/01/2008 - 04/28/2011 | WINNETKA, IL | |
IA | 09/27/2006 - 10/01/2008 | WINNETKA, IL | |
B | 07/01/2006 - 10/01/2008 | WINNETKA, IL | |
IA | 05/06/2004 - 09/27/2006 | WILMETTE, IL | |
B | 05/06/2004 - 07/01/2006 | WILMETTE, IL | |
B | 11/20/2001 - 02/21/2003 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.