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Detailed Report
HEATHER ANN NAVARRO
HEATHER A MOCHEL, HEATHER A MOCHEL, Heather Ann Mochel, HEATHER A NAVARRO, HEATHER ANN PERCIVAL
CRD#: 4590290
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 400 S RAMPART BLVD
LAS VEGAS, NV 89145
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2013 - 2016 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2013 (3 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2009 (7 years)
License(s)

State Registrations

B
Nevada 1/29/2016
IA
Nevada 4/29/2016

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)
400 S RAMPART BLVD, LAS VEGAS, NV 89145
Registered with this firm since 4/29/2016
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
400 S RAMPART BLVD, LAS VEGAS, NV 89145
Registered with this firm since 1/29/2016
Previous Registration(s)
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B
 08/28/2013 - 01/07/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
B
 10/23/2009 - 08/19/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
B
 10/18/2002 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LAS VEGAS, NV
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.