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Detailed Report
ANDREW RIPLEY
ANDREW FREDERICK RIPLEY
CRD#: 4715229
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2595 W CHANDLER BLVD
Chandler, AZ 85224
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2013 (5 years)2 FIRMS2014 - Present (10 years)BUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)2005 - 2007 (2 years)BVANGUARD MARKETING CORPORATION (CRD# 7452)2005 - 2005 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2004 - 2005 (1 year)
License(s)

State Registrations

B
Arizona 7/14/2014
IA
Texas 7/2/2014
IA
California 7/2/2014

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)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2595 W CHANDLER BLVD, Chandler, AZ 85224
Registered with this firm since 7/2/2014
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2595 W CHANDLER BLVD, Chandler, AZ 85224
Registered with this firm since 7/2/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2007 - 03/13/2013 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) PHOENIX, AZ
B
 08/31/2007 - 03/13/2013 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) PHOENIX, AZ
B
 10/18/2005 - 10/15/2007 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) PHOENIX, AZ
B
 08/19/2005 - 09/21/2005 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
B
 06/28/2004 - 08/16/2005 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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.