Individual Firm
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.
MARJORIE CAROL RICHESIN
CRD#: 5623233
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5209 W VILLAGE PKWY
ROGERS, AR 72758
ROGERS, AR 72758
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Alabama 11/8/2023
B
Nebraska 11/8/2023
B
Alaska 11/8/2023
B
Nevada 11/8/2023
B
Arizona 11/8/2023
B
New Hampshire 11/8/2023
B
Arkansas 12/9/2011
B
New Jersey 11/1/2023
IA
Arkansas 8/6/2018
B
New Mexico 11/8/2023
B
California 11/8/2023
B
New York 11/8/2023
B
Colorado 11/8/2023
B
North Carolina 11/8/2023
B
Connecticut 11/8/2023
B
North Dakota 11/8/2023
B
Delaware 11/8/2023
B
Ohio 11/9/2023
B
District of Columbia 11/8/2023
B
Oklahoma 11/8/2023
B
Florida 11/8/2023
B
Oregon 11/8/2023
B
Georgia 11/8/2023
B
Pennsylvania 11/8/2023
B
Hawaii 11/8/2023
B
Puerto Rico 11/8/2023
B
Idaho 11/8/2023
B
Rhode Island 11/8/2023
B
Illinois 11/8/2023
B
South Carolina 11/8/2023
B
Indiana 11/8/2023
B
South Dakota 11/8/2023
B
Iowa 11/8/2023
B
Tennessee 11/8/2023
B
Kansas 11/8/2023
IA
Texas 11/21/2011
B
Kentucky 11/8/2023
B
Texas 11/8/2023
B
Louisiana 11/8/2023
B
Utah 11/8/2023
B
Maine 11/8/2023
B
Vermont 11/8/2023
B
Maryland 11/8/2023
B
Virgin Islands 11/8/2023
B
Massachusetts 11/8/2023
B
Virginia 11/8/2023
B
Michigan 11/8/2023
B
Washington 11/8/2023
B
Minnesota 11/8/2023
B
West Virginia 11/8/2023
B
Mississippi 11/8/2023
B
Wisconsin 11/8/2023
B
Missouri 11/8/2023
B
Wyoming 11/8/2023
B
Montana 11/8/2023
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
B
Registered with this firm since 12/9/2011
IA
Registered with this firm since 11/21/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/25/2009 - 12/02/2010 | AUSTIN, TX | |
B | 02/04/2009 - 12/02/2010 | AUSTIN, TX |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.