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Detailed Report
EDWARD L MALICDEM
MALICDEM EDWARD
CRD#: 4465484
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2007 (5 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - Present (14 years)
Disclosure(s)
View By:
3/1/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/15/2020
B
Nebraska 1/15/2020
B
Alaska 1/15/2020
B
Nevada 6/3/2010
B
Arizona 6/3/2010
B
New Hampshire 8/26/2010
B
Arkansas 1/15/2020
B
New Jersey 1/2/2015
B
California 6/3/2010
B
New Mexico 1/15/2020
IA
California 6/3/2010
B
New York 6/3/2010
B
Colorado 6/3/2010
B
North Carolina 1/13/2015
B
Connecticut 1/15/2020
B
North Dakota 1/15/2020
B
Delaware 1/15/2020
B
Ohio 6/3/2010
B
District of Columbia 1/15/2020
B
Oklahoma 1/15/2020
B
Florida 6/3/2010
B
Oregon 6/3/2010
B
Georgia 1/15/2020
B
Pennsylvania 1/2/2015
B
Hawaii 1/15/2020
B
Puerto Rico 1/15/2020
B
Idaho 1/15/2020
B
Rhode Island 1/15/2020
B
Illinois 6/3/2010
B
South Carolina 1/15/2020
B
Indiana 1/15/2020
B
South Dakota 1/15/2020
B
Iowa 1/15/2020
B
Tennessee 5/15/2013
B
Kansas 1/15/2020
B
Texas 6/23/2010
B
Kentucky 1/15/2020
IA
Texas 6/24/2010
B
Louisiana 1/15/2020
B
Utah 1/2/2015
B
Maine 1/15/2020
B
Vermont 1/15/2020
B
Maryland 1/15/2020
B
Virgin Islands 1/15/2020
B
Massachusetts 6/3/2010
B
Virginia 1/15/2020
B
Michigan 1/15/2020
B
Washington 1/15/2020
B
Minnesota 1/15/2020
B
West Virginia 1/15/2020
B
Mississippi 1/15/2020
B
Wisconsin 1/15/2020
B
Missouri 1/15/2020
B
Wyoming 1/15/2020
B
Montana 1/15/2020

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)
800 E COLORADO BLVD, PASADENA, CA 91101
Los Angeles, CA
Registered with this firm since 6/3/2010
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Los Angeles, CA
Registered with this firm since 6/3/2010
Previous Registration(s)
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IA
 06/01/2009 - 06/07/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) GLENDALE, CA
B
 06/01/2009 - 06/07/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) GLENDALE, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GLENDALE, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GLENDALE, CA
IA
 11/19/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) GLENDALE, CA
B
 01/01/2002 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) GLENDALE, CA
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.