• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DAVID CLONINGER
DAVE CLONINGER, PAUL D CLONINGER
CRD#: 5187399
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)
Disclosure(s)
View By:
4/24/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/6/2019

B
Montana 5/7/2024

B
California 10/20/2006

B
Nevada 7/19/2018

IA
California 10/20/2006

B
New Jersey 10/21/2024

B
Colorado 6/18/2008

B
New York 4/25/2022

B
District of Columbia 4/5/2023

B
North Carolina 10/26/2009

B
Florida 11/2/2009

B
Oregon 11/25/2024

B
Georgia 4/19/2018

B
Tennessee 7/16/2021

B
Illinois 2/13/2024

IA
Texas 4/29/2010

B
Kansas 2/27/2017

B
Texas 8/7/2012

B
Maryland 9/21/2018

B
Utah 12/11/2024

B
Massachusetts 7/9/2013

B
Washington 1/3/2008

B
Missouri 2/16/2011

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 10/20/2006

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 9/18/2006

For additional information about investment advisers or broker-dealers, please visit
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.