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Detailed Report
Prescott Bevier Rowe
PRESCOTT B ROWE, PRESCOTT BEVIER ROWE, Prescott Rowe
CRD#: 6008801
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 824 A1A N
PONTE VEDRA BEACH, FL 32082
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2013 (<1 year)
Disclosure(s)
View By:
2/16/2000
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 5/6/2024
B
New Hampshire 2/8/2023
B
Colorado 4/25/2024
B
New Jersey 10/21/2020
B
Delaware 10/23/2020
B
North Carolina 7/26/2017
B
Florida 4/24/2017
B
Pennsylvania 10/22/2020
IA
Florida 4/24/2017
B
South Carolina 7/12/2021
B
Georgia 7/25/2017
B
Tennessee 9/26/2022
B
Maryland 10/21/2020
B
Virginia 7/8/2020
B
Mississippi 6/17/2020
B
Wisconsin 10/22/2020

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)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 4/24/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 4/21/2017
Previous Registration(s)
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IA
 09/26/2014 - 03/29/2017 STRATEGIC ADVISERS, INC. (CRD#:104555) JACKSONVILLE, FL
B
 09/04/2014 - 03/29/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) JACKSONVILLE, FL
IA
 06/10/2013 - 08/26/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
 06/07/2013 - 08/26/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
 04/03/2012 - 03/12/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
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.