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Detailed Report
NICOLE A QUINLAN
NICOLE ANDREE QUINLAN, NICOLE A QUINLAN-YERKES, NICOLE QUINLAN-YERKES
CRD#: 6059719
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 28202 CABOT RD
LAGUNA NIGUEL, CA 92677
Registration History
201220142016201820202022202420262 FIRMS2015 - 2020 (5 years)2 FIRMS2020 - Present (4 years)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2014 - 2015 (<1 year)BMUTUAL SECURITIES, INC. (CRD# 13092)2012 - 2013 (<1 year)
License(s)

State Registrations

B
Alabama 12/15/2020
B
Nebraska 12/15/2020
B
Alaska 12/15/2020
B
Nevada 10/1/2020
B
Arizona 10/1/2020
B
New Hampshire 12/15/2020
B
Arkansas 12/15/2020
B
New Jersey 10/1/2020
B
California 10/1/2020
B
New Mexico 12/15/2020
IA
California 10/1/2020
B
New York 10/1/2020
B
Colorado 10/1/2020
B
North Carolina 10/1/2020
B
Connecticut 10/1/2020
B
North Dakota 12/15/2020
B
Delaware 12/15/2020
B
Ohio 10/1/2020
B
District of Columbia 12/15/2020
B
Oklahoma 12/15/2020
B
Florida 10/1/2020
B
Oregon 10/1/2020
B
Georgia 10/1/2020
B
Pennsylvania 12/15/2020
B
Hawaii 12/15/2020
B
Puerto Rico 12/15/2020
B
Idaho 10/1/2020
B
Rhode Island 12/15/2020
B
Illinois 12/15/2020
B
South Carolina 10/1/2020
B
Indiana 12/15/2020
B
South Dakota 12/15/2020
B
Iowa 12/15/2020
B
Tennessee 10/1/2020
B
Kansas 12/15/2020
B
Texas 10/1/2020
B
Kentucky 12/15/2020
IA
Texas 10/1/2020
B
Louisiana 12/15/2020
B
Utah 12/15/2020
B
Maine 12/15/2020
B
Vermont 12/15/2020
B
Maryland 12/15/2020
B
Virgin Islands 12/15/2020
B
Massachusetts 10/1/2020
B
Virginia 10/1/2020
B
Michigan 12/15/2020
B
Washington 10/1/2020
B
Minnesota 12/15/2020
B
West Virginia 12/15/2020
B
Mississippi 12/15/2020
B
Wisconsin 12/15/2020
B
Missouri 12/15/2020
B
Wyoming 12/15/2020
B
Montana 10/1/2020

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)
28202 CABOT RD, LAGUNA NIGUEL, CA 92677
orange, CA
Registered with this firm since 10/1/2020
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
28202 CABOT RD, LAGUNA NIGUEL, CA 92677
orange, CA
Registered with this firm since 10/1/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/10/2015 - 10/15/2020 MORGAN STANLEY (CRD#:149777) IRVINE, CA
B
 08/19/2015 - 10/15/2020 MORGAN STANLEY (CRD#:149777) IRVINE, CA
B
 11/24/2014 - 07/07/2015 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) ORANGE, CA
B
 09/20/2012 - 07/29/2013 MUTUAL SECURITIES, INC. (CRD#:13092) LAGUNA BEACH, 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.