Individual Firm
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VICTORIA ANNE STAEBLER
CRD#: 4361476
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
WELLESLEY HILLS, MA 02481
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12/8/1998
Regulatory
Final
State Registrations
B
Connecticut 1/24/2005
B
Massachusetts 2/3/2005
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Connecticut 3/1/2005
B
New Hampshire 2/14/2005
SRO Registrations
B
B
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/1/2005
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Registered with this firm since 1/20/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/16/2001 - 02/15/2005 | PITTSBURGH, PA | |
B | 04/20/2001 - 06/16/2001 | LOUISVILLE, KY |
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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.
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