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MATTHEW J SMITH
MATTHEW JENNINGS SMITH
CRD#: 6112937
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 569 BROOKWOOD VLG
BIRMINGHAM, AL 35209
BIRMINGHAM, AL 35209
View By:
6/14/2021
Customer Dispute
Settled
State Registrations
B
Alabama 11/8/2012
B
Mississippi 1/2/2013
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Alabama 11/8/2012
B
Missouri 11/19/2014
B
California 7/18/2016
B
Nevada 7/18/2016
B
Colorado 11/19/2014
B
New York 6/5/2015
B
Connecticut 6/5/2015
B
North Carolina 11/20/2014
B
Delaware 7/18/2016
B
Pennsylvania 6/15/2023
B
Florida 6/22/2015
B
South Carolina 1/2/2013
B
Georgia 1/2/2013
B
Tennessee 6/5/2015
B
Illinois 7/18/2016
B
Texas 1/2/2013
B
Indiana 11/19/2014
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Texas 1/2/2013
B
Kansas 6/5/2015
B
Virginia 6/5/2015
B
Louisiana 2/26/2014
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 11/8/2012
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Registered with this firm since 10/11/2012
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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.
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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.