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Detailed Report
Patricio Miguel Panuncio
Patricio M Panuncio, Patricio Panuncio
CRD#: 6740893
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1001 EAST 2100 S
SALT LAKE CITY, UT 84106
Registration History
2017201820192020202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - Present (6 years)
Disclosure(s)
View By:
11/5/2023
Judgment / Lien
5/4/2017
Judgment / Lien
License(s)

State Registrations

B
Arizona 6/27/2019
B
New York 2/16/2021
B
California 1/6/2023
B
North Dakota 11/29/2023
B
Colorado 7/9/2020
IA
Texas 2/22/2019
B
Connecticut 8/11/2021
B
Texas 7/9/2020
B
Florida 4/1/2019
B
Utah 2/19/2019
B
Idaho 7/9/2020
IA
Utah 2/20/2019
B
Massachusetts 3/7/2022
B
Washington 4/16/2024
B
Nevada 7/9/2020
B
Wyoming 7/9/2020
B
New Mexico 7/9/2020

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)
1001 EAST 2100 S, SALT LAKE CITY, UT 84106
Registered with this firm since 2/20/2019
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1001 EAST 2100 S, SALT LAKE CITY, UT 84106
Registered with this firm since 12/28/2018
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.