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Edward JOSEPH Laux
CRD#: 724229
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2 PICKWICK PLZ
GREENWICH, CT 06830
GREENWICH, CT 06830
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Disclosures
41
Years of Experience
View By:
State Registrations
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California 7/10/2020
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New Jersey 5/9/2019
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Connecticut 2/28/2019
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New York 5/9/2019
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Connecticut 4/15/2019
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North Carolina 2/11/2022
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Florida 5/9/2019
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South Carolina 3/30/2021
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Massachusetts 5/13/2021
SRO Registrations
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Registered with this firm since 4/15/2019
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Registered with this firm since 2/28/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/20/2015 - 03/16/2017 | STAMFORD, CT | |
B | 06/27/2012 - 04/23/2015 | STAMFORD, CT | |
B | 08/04/2011 - 06/20/2012 | NEW YORK, NY | |
B | 01/21/2003 - 03/01/2011 | NEW YORK, NY | |
B | 11/06/2001 - 01/21/2003 | NEW YORK, NY | |
B | 02/27/2001 - 10/23/2001 | JERICHO, NY | |
B | 01/02/1997 - 02/26/2001 | STAMFORD, CT | |
B | 01/09/1995 - 01/02/1997 | CHICAGO, IL | |
B | 01/28/1995 - 01/25/1996 | WEEHAWKEN, NJ | |
B | 02/23/1981 - 01/28/1995 | NEW YORK, NY |
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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.
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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.