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Ariel T Agustin
ARIEL TOLENTINO AGUSTIN
CRD#: 4510977
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2003 (<1 year)2 FIRMS2003 - 2007 (4 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alaska 8/7/2020

B
Michigan 1/6/2020

B
Arizona 10/30/2012

B
Mississippi 1/26/2015

B
California 10/23/2009

B
Missouri 1/26/2015

IA
California 10/23/2009

B
Nevada 1/26/2015

B
Colorado 1/5/2021

B
New Mexico 8/2/2024

B
Delaware 11/1/2024

B
North Carolina 11/6/2024

B
Florida 4/7/2010

B
Oregon 2/3/2025

B
Idaho 1/4/2019

IA
Texas 1/27/2015

B
Kentucky 4/2/2020

B
Texas 8/2/2021

B
Maryland 5/25/2022

B
Virginia 7/18/2023

B
Massachusetts 1/30/2024

B
Washington 2/25/2014

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 10/23/2009

Previous Registration(s)
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IA
10/06/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SACRAMENTO, CA
B
10/03/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SACRAMENTO, CA
IA
05/29/2007 - 10/20/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
B
05/29/2007 - 10/20/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
IA
05/16/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SACRAMENTO, CA
B
05/16/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SACRAMENTO, CA
IA
07/19/2002 - 04/14/2003 MORGAN STANLEY (CRD#:7556) SACRAMENTO, CA
B
05/09/2002 - 04/14/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.