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Detailed Report
ARMIN ESHAGHIAN
CRD#: 5614323
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 880 E COLORADO BLVD
PASADENA, CA 91106
Registration History
2010201220142016201820202022202420264 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2014 (4 years)2 FIRMS2016 - Present (9 years)
License(s)

State Registrations

B
California 1/14/2016
IA
California 1/14/2016

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

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)
880 E COLORADO BLVD, PASADENA, CA 91106
Registered with this firm since 1/14/2016
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
880 E COLORADO BLVD, PASADENA, CA 91106
Registered with this firm since 1/14/2016
Previous Registration(s)
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IA
 04/01/2010 - 10/24/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 03/31/2010 - 10/24/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 08/27/2009 - 04/30/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MONTROSE, CA
B
 08/27/2009 - 04/30/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MONTROSE, CA
IA
 06/01/2009 - 06/30/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PASADENA, CA
B
 06/01/2009 - 06/30/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PASADENA, CA
IA
 01/29/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
B
 01/06/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
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.