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Detailed Report
Adam K Slaughter
Adam Keith Slaughter, Adam Slaughter
CRD#: 6717690
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 340 E MAIN AVE
BOWLING GREEN, KY 42101
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Arizona 2/7/2023
IA
Kentucky 12/7/2022
B
California 2/7/2023
B
Tennessee 1/3/2023
B
Colorado 10/28/2024
IA
Texas 1/3/2023
B
Georgia 11/10/2023
B
Virginia 1/10/2024
B
Kentucky 12/7/2022
B
Washington 2/13/2024

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)
340 E MAIN AVE, BOWLING GREEN, KY 42101
Registered with this firm since 12/7/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
340 E MAIN AVE, BOWLING GREEN, KY 42101
Registered with this firm since 12/7/2022
Previous Registration(s)
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IA
 04/29/2022 - 11/04/2022 EDWARD JONES (CRD#:250) BOWLING GREEN, KY
B
 04/29/2022 - 11/04/2022 EDWARD JONES (CRD#:250) BOWLING GREEN, KY
IA
 08/25/2021 - 05/17/2022 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) LOUISVILLE, KY
B
 08/25/2021 - 05/17/2022 PRUCO SECURITIES, LLC. (CRD#:5685) LOUISVILLE, KY
IA
 10/04/2017 - 08/26/2021 BANKERS LIFE ADVISORY SERVICES, INC. (CRD#:281285) BOWLING GREEN, KY
B
 05/15/2017 - 08/26/2021 BANKERS LIFE SECURITIES, INC. (CRD#:173962) BOWLING GREEN, KY
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.