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BARBARA HARBOLDT
CRD#: 6122986
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 520 NEWPORT CENTER DR
NEWPORT BEACH, CA 92660
Registration History
20122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - Present (12 years)
License(s)

State Registrations

B
Arizona 2/23/2023

B
Montana 9/4/2013

B
California 6/26/2013

B
Nevada 9/4/2013

IA
California 6/26/2013

B
New Jersey 3/6/2017

B
Delaware 9/4/2013

B
New York 9/4/2013

B
Florida 9/4/2013

B
North Carolina 9/5/2013

B
Hawaii 9/4/2013

B
Oklahoma 9/4/2013

B
Idaho 1/25/2024

B
Oregon 9/4/2013

B
Illinois 10/1/2021

B
Pennsylvania 12/15/2021

B
Indiana 4/1/2020

B
Tennessee 6/1/2021

B
Kansas 9/4/2013

B
Texas 9/4/2013

B
Maine 11/1/2024

IA
Texas 10/15/2013

B
Maryland 1/25/2024

B
Utah 9/4/2013

B
Massachusetts 6/28/2021

B
Virginia 6/6/2023

B
Michigan 8/15/2017

B
Washington 1/15/2019

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

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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)
520 NEWPORT CENTER DR, NEWPORT BEACH, CA 92660
3500 E SUNRISE DR, TUCSON, AZ 85718
Registered with this firm since 6/26/2013

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
520 NEWPORT CENTER DR, NEWPORT BEACH, CA 92660
3500 E SUNRISE DR, TUCSON, AZ 85718
Registered with this firm since 11/21/2012

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B
Broker
IA
Investment Adviser
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.