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JOHN A BAZAN
JOHN A. BAZAN, JOHN ANTHONY BAZAN
CRD#: 4779578
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5910 N CENTRAL EXPY
DALLAS, TX 75206
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2011 - Present (14 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2004 - 2007 (3 years)
License(s)

State Registrations

B
Alabama 6/6/2018

B
Nebraska 11/8/2022

B
Arizona 5/17/2018

B
Nevada 6/6/2018

B
Arkansas 6/6/2018

B
New Mexico 5/11/2018

B
California 11/2/2012

B
New York 5/17/2018

B
Colorado 1/2/2018

B
North Carolina 6/6/2018

B
District of Columbia 6/10/2019

B
Ohio 5/25/2017

B
Florida 5/17/2018

B
Oklahoma 5/17/2018

B
Georgia 6/6/2018

B
Oregon 5/17/2018

B
Idaho 8/23/2022

B
Pennsylvania 6/6/2018

B
Illinois 10/6/2017

B
South Carolina 6/6/2018

B
Iowa 4/24/2024

B
Tennessee 6/6/2018

B
Kansas 6/6/2018

B
Texas 2/11/2011

B
Louisiana 6/6/2018

IA
Texas 2/11/2011

B
Maryland 6/6/2018

B
Utah 6/10/2019

B
Massachusetts 6/6/2018

B
Virginia 5/17/2018

B
Mississippi 6/6/2018

B
Washington 6/6/2018

B
Missouri 1/3/2018

B
Wisconsin 6/6/2018

B
Montana 3/23/2016

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

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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)
5910 N CENTRAL EXPY, DALLAS, TX 75206
Registered with this firm since 2/11/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5910 N CENTRAL EXPY, DALLAS, TX 75206
Registered with this firm since 1/1/2011

Previous Registration(s)
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B
06/28/2004 - 06/13/2007 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WESTLAKE, TX
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B
Broker
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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.