Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MARCELL SHERMAN ROBATEAU
MARCELL ROBATEAU, Marcell Sherman Robateau, Robateau M Sherman
CRD#: 6650969
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
Registration History
20172018201920202021202220232024202520262 FIRMS2018 - Present (6 years)BNYLIFE SECURITIES LLC (CRD# 5167)2017 - 2018 (1 year)
License(s)

State Registrations

B
Arizona 10/14/2019
B
New Hampshire 10/14/2019
B
California 11/21/2019
B
New Jersey 10/14/2019
B
Colorado 10/16/2020
B
New Mexico 8/28/2023
B
Connecticut 6/20/2018
B
New York 10/14/2019
IA
Connecticut 6/20/2018
B
North Carolina 10/16/2020
B
Delaware 10/16/2020
B
Ohio 10/18/2020
B
District of Columbia 10/16/2020
B
Oregon 10/16/2020
B
Florida 10/14/2019
B
Pennsylvania 10/16/2020
B
Georgia 10/16/2020
B
Rhode Island 4/26/2019
B
Hawaii 10/16/2020
B
South Carolina 10/16/2020
B
Illinois 2/17/2025
B
South Dakota 10/16/2020
B
Iowa 8/28/2023
B
Tennessee 10/16/2020
B
Kansas 10/16/2020
B
Texas 10/14/2019
B
Maine 10/14/2019
IA
Texas 10/15/2019
B
Maryland 5/30/2019
B
Utah 8/28/2023
B
Massachusetts 3/26/2018
B
Vermont 10/14/2019
B
Michigan 1/15/2025
B
Virginia 10/16/2020
B
Missouri 10/16/2020
B
Washington 10/16/2020
B
Nevada 10/16/2020
B
West Virginia 10/16/2020

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)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 6/20/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 3/26/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/17/2017 - 02/22/2018 NYLIFE SECURITIES LLC (CRD#:5167) BRIDGEWATER, MA
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.