Individual Firm
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DAVID WILLIAM BOSTWICK
CRD#: 5624682
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 6400 S FIDDLERS GREEN CIR
GREENWOOD VILLAGE, CO 80111
GREENWOOD VILLAGE, CO 80111
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Arizona 8/29/2013
B
Nevada 10/28/2016
B
California 8/29/2013
B
North Carolina 11/17/2014
IA
California 8/29/2013
B
Ohio 8/16/2017
B
Colorado 10/21/2014
B
Tennessee 8/15/2017
IA
Colorado 3/1/2023
B
Texas 4/6/2015
B
Florida 8/15/2017
IA
Texas 4/6/2015
B
Hawaii 11/5/2024
B
Utah 9/16/2013
B
Idaho 1/4/2024
B
Washington 8/15/2017
B
Illinois 8/15/2017
B
Wisconsin 11/2/2017
B
Minnesota 8/15/2017
SRO Registrations
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B
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IA
Registered with this firm since 8/29/2013
B
Registered with this firm since 8/29/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 09/05/2013 | NEWPORT BEACH, CA | |
B | 06/01/2009 - 09/05/2013 | NEWPORT BEACH, CA | |
IA | 02/16/2009 - 06/01/2009 | NEWPORT BEACH, CA | |
B | 01/26/2009 - 06/01/2009 | NEWPORT BEACH, CA |
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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.