Individual Firm
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Richard P Gentile
Richard Patrick Gentile
CRD#: 7212326
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1221 W EMMA AVE
COEUR D'ALENE, ID 83814
COEUR D'ALENE, ID 83814
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12/5/2021
Customer Dispute
Settled
State Registrations
B
California 3/12/2024
B
Oregon 5/31/2023
B
Florida 6/1/2023
B
South Carolina 8/14/2023
B
Georgia 12/1/2023
B
Texas 5/31/2023
B
Idaho 5/11/2023
IA
Texas 5/31/2023
IA
Idaho 5/11/2023
B
Utah 6/1/2023
B
Montana 6/12/2023
B
Washington 5/31/2023
B
Nevada 6/12/2023
B
Wyoming 6/16/2023
B
New Mexico 10/29/2024
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 5/11/2023
B
Registered with this firm since 5/11/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/12/2022 - 03/16/2023 | Spokane, WA | |
B | 09/12/2022 - 03/16/2023 | Spokane, WA | |
IA | 05/18/2020 - 06/01/2022 | LANCASTER, CA | |
B | 03/10/2020 - 06/01/2022 | LANCASTER, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.