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Samuel Thomas Pokluda
CRD#: 7412205
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2100 ROSS AVE
DALLAS, TX 75201
Registration History
2021202220232024202520262 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 4/12/2022

B
Nebraska 4/12/2022

B
Alaska 4/12/2022

B
Nevada 4/12/2022

B
Arizona 4/12/2022

B
New Hampshire 4/12/2022

B
Arkansas 4/12/2022

B
New Jersey 4/12/2022

B
California 4/12/2022

B
New Mexico 4/12/2022

B
Colorado 4/12/2022

B
New York 4/12/2022

B
Connecticut 4/12/2022

B
North Carolina 4/12/2022

B
Delaware 4/12/2022

B
North Dakota 4/12/2022

B
District of Columbia 4/12/2022

B
Ohio 4/12/2022

B
Florida 4/12/2022

B
Oklahoma 4/12/2022

B
Georgia 4/12/2022

B
Oregon 4/12/2022

B
Hawaii 4/12/2022

B
Pennsylvania 4/12/2022

B
Idaho 4/12/2022

B
Puerto Rico 4/12/2022

B
Illinois 4/12/2022

B
Rhode Island 4/12/2022

B
Indiana 4/12/2022

B
South Carolina 4/12/2022

B
Iowa 4/12/2022

B
Tennessee 4/12/2022

B
Kansas 4/12/2022

B
Texas 4/8/2022

B
Kentucky 4/12/2022

IA
Texas 4/8/2022

B
Louisiana 4/12/2022

B
Utah 4/12/2022

B
Maine 4/12/2022

B
Vermont 4/12/2022

B
Maryland 4/12/2022

B
Virgin Islands 4/12/2022

B
Massachusetts 4/12/2022

B
Virginia 4/12/2022

B
Michigan 4/12/2022

B
Washington 4/12/2022

B
Minnesota 4/12/2022

B
West Virginia 4/12/2022

B
Mississippi 4/12/2022

B
Wisconsin 4/12/2022

B
Missouri 4/12/2022

B
Wyoming 4/12/2022

B
Montana 4/12/2022

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)
2100 ROSS AVE, DALLAS, TX 75201
Registered with this firm since 4/8/2022

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
Registered with this firm since 4/8/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/15/2021 - 02/10/2022 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) WESTLAKE, TX
B
10/23/2021 - 02/07/2022 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WESTLAKE, TX
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B
Broker
IA
Investment Adviser
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.