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Detailed Report
ZACHARY KENT SWOL
ZACH SWOL, ZACHARY K SWOL
CRD#: 5939012
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1040 STONY HILL RD
YARDLEY, PA 19067
Registration History
20202021202220232024202520262 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
Alabama 2/14/2024
B
New Hampshire 2/2/2023
B
Arizona 12/8/2020
B
New Jersey 10/26/2020
B
California 12/8/2020
IA
New Jersey 10/27/2020
B
Colorado 12/8/2020
B
New York 12/8/2020
B
Connecticut 12/8/2020
B
North Carolina 12/8/2020
B
Delaware 12/8/2020
B
Ohio 12/8/2020
B
District of Columbia 12/8/2020
B
Pennsylvania 12/2/2020
B
Florida 12/8/2020
IA
Pennsylvania 12/7/2020
B
Georgia 12/8/2020
B
Rhode Island 12/8/2020
B
Illinois 12/8/2020
B
South Carolina 12/8/2020
B
Kentucky 2/2/2023
B
South Dakota 12/8/2020
B
Louisiana 7/3/2024
B
Tennessee 2/2/2023
B
Maine 7/3/2024
B
Texas 12/8/2020
B
Maryland 12/8/2020
IA
Texas 12/8/2020
B
Massachusetts 12/8/2020
B
Vermont 4/1/2024
B
Michigan 12/8/2020
B
Virginia 12/8/2020
B
Minnesota 2/2/2023
B
West Virginia 2/2/2023
B
Missouri 12/8/2020
B
Wisconsin 12/8/2020
B
Nevada 2/1/2021

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)
1040 STONY HILL RD, YARDLEY, PA 19067
New Hope, PA
Registered with this firm since 10/27/2020
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1040 STONY HILL RD, YARDLEY, PA 19067
New Hope, PA
Registered with this firm since 6/17/2020
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.