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Detailed Report
HECTOR M AMEZCUA
HECTOR MORRIS AMEZCUA
CRD#: 5677533
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 15742 WHITTIER BLVD
WHITTIER, CA 90603
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - 2013 (<1 year)2 FIRMS2014 - Present (10 years)
Disclosure(s)
View By:
8/6/2014
Regulatory
Final
License(s)

State Registrations

B
Arizona 7/9/2016
B
Oregon 7/9/2016
B
California 11/3/2014
B
Texas 7/9/2016
IA
California 11/3/2014
IA
Texas 7/28/2016
B
Florida 7/9/2016
B
Washington 2/12/2020
B
Nevada 7/9/2016

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)
15742 WHITTIER BLVD, WHITTIER, CA 90603
Registered with this firm since 11/3/2014
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
15742 WHITTIER BLVD, WHITTIER, CA 90603
Registered with this firm since 11/3/2014
Previous Registration(s)
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IA
 10/01/2012 - 06/07/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) PARAMOUNT, CA
B
 10/01/2012 - 06/07/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) PARAMOUNT, CA
IA
 11/21/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PARAMOUNT, CA
B
 11/21/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PARAMOUNT, CA
IA
 01/03/2011 - 11/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) MONTEBELLO, CA
B
 01/03/2011 - 11/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) MONTEBELLO, CA
IA
 08/05/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MONTEBELLO, CA
B
 07/24/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MONTEBELLO, 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.