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MATTHEW D POMERANTZ
CRD#: 6535723
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - Present (9 years)
Disclosure(s)
View By:
12/23/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/1/2022

B
Mississippi 8/26/2022

B
California 1/4/2016

IA
Nevada 9/29/2016

B
Colorado 1/4/2016

B
Nevada 6/26/2023

B
Florida 1/4/2016

B
New York 2/14/2019

B
Hawaii 8/5/2022

B
North Carolina 1/5/2016

B
Illinois 12/8/2015

B
Texas 1/4/2016

IA
Illinois 12/8/2015

IA
Texas 1/4/2016

B
Indiana 1/4/2016

B
Wisconsin 8/5/2022

B
Kansas 8/5/2022

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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 12/8/2015

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 9/26/2015

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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.