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Detailed Report
Hilary K Wynn
HILARY K HAYNES, HILARY KATHERINE HAYNES, Hilary Haynes, HILARY K WYNN, HILARY KATHERINE WYNN
CRD#: 5040400
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 101 E KENNEDY BLVD
TAMPA, FL 33602
Registration History
200620082010201220142016201820202022202420262 FIRMS2014 - 2017 (3 years)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2018 - 2024 (6 years)2 FIRMS2024 - Present (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2006 - 2014 (7 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2014 (2 years)
Disclosure(s)
View By:
4/4/2023
Judgment / Lien
2/23/2017
Financial
Final
License(s)

State Registrations

B
Alabama 6/5/2024
B
Missouri 5/2/2024
B
Arizona 5/9/2024
B
Montana 4/30/2024
B
Arkansas 4/26/2024
B
Nebraska 4/25/2024
B
California 4/26/2024
B
Nevada 4/26/2024
B
Colorado 4/26/2024
B
New Hampshire 4/29/2024
B
Connecticut 4/26/2024
B
New Jersey 4/26/2024
B
Delaware 5/8/2024
B
New Mexico 4/26/2024
B
Florida 4/24/2024
B
New York 4/26/2024
IA
Florida 4/24/2024
B
North Carolina 4/26/2024
B
Georgia 4/29/2024
B
Ohio 4/26/2024
B
Idaho 4/30/2024
B
Oregon 6/5/2024
B
Illinois 5/9/2024
B
Pennsylvania 4/26/2024
B
Indiana 4/26/2024
B
Rhode Island 4/26/2024
B
Kansas 4/26/2024
B
South Carolina 4/29/2024
B
Kentucky 5/22/2024
B
Tennessee 4/26/2024
B
Maine 4/26/2024
B
Texas 4/26/2024
B
Maryland 5/2/2024
IA
Texas 4/30/2024
B
Michigan 5/16/2024
B
Utah 4/26/2024
B
Minnesota 4/26/2024
B
Virginia 4/26/2024
B
Mississippi 4/26/2024
B
Washington 4/25/2024

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)
101 E KENNEDY BLVD, TAMPA, FL 33602
Registered with this firm since 4/24/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
101 E KENNEDY BLVD, TAMPA, FL 33602
Registered with this firm since 4/23/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/11/2018 - 01/26/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TAMPA, FL
B
 01/10/2018 - 01/26/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TAMPA, FL
IA
 08/11/2017 - 12/18/2017 CAPTRUST (CRD#:175112) Tampa, FL
B
 08/08/2017 - 12/18/2017 CAPFINANCIAL SECURITIES, LLC. (CRD#:126291) Tampa, FL
IA
 06/06/2014 - 08/07/2017 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) TAMPA, FL
B
 06/05/2014 - 08/07/2017 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) TAMPA, FL
IA
 05/20/2011 - 04/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) TAMPA, FL
B
 09/20/2006 - 04/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) TAMPA, FL
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.