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JESSE JOSEPH HERR
JESSE JOSEPH HERR MR
CRD#: 4818189
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
199019952000200520102015202020252 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)
Disclosure(s)
View By:
10/15/1988
Regulatory
Final
License(s)

State Registrations

B
California 10/23/2009

B
Illinois 10/23/2009

B
Florida 11/12/2015

IA
Illinois 10/23/2009

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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 10/23/2009

Previous Registration(s)
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IA
11/09/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
B
07/23/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
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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.