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Detailed Report
DAVID LEIGH ASKENASE
DAVID ASKENASE
CRD#: 6521794
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 13355 NOEL RD
DALLAS, TX 75240
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2023 - Present (1 year)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2015 - 2023 (7 years)IAALLIANCEBERNSTEIN L.P. (CRD# 108477)2017 - 2023 (6 years)
License(s)

State Registrations

B
Florida 9/5/2023
B
Texas 9/5/2023
B
Iowa 10/11/2024
IA
Texas 9/5/2023
B
New York 9/5/2023
B
Virginia 9/5/2023
B
North Carolina 10/14/2024

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)
13355 NOEL RD, DALLAS, TX 75240
Registered with this firm since 9/5/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
13355 NOEL RD, DALLAS, TX 75240
Registered with this firm since 9/5/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/07/2017 - 09/19/2023 ALLIANCEBERNSTEIN L.P. (CRD#:108477) Dallas, TX
B
 11/12/2015 - 09/19/2023 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) DALLAS, TX
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.