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Detailed Report
David Lee Clark
David L Clark
CRD#: 7446451
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 36 N WASHINGTON ST
EASTON, MD 21601
Registration History
202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2022 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - Present (3 years)
License(s)

State Registrations

B
Alaska 3/3/2023
B
New Jersey 2/14/2022
B
Arizona 3/3/2023
B
New York 2/14/2022
B
California 3/3/2023
B
North Carolina 3/3/2023
B
Delaware 2/14/2022
B
Pennsylvania 2/14/2022
B
District of Columbia 2/14/2022
B
South Carolina 3/3/2023
B
Florida 2/14/2022
B
Texas 2/14/2022
B
Georgia 3/3/2023
IA
Texas 2/16/2022
B
Maine 3/3/2023
B
Virginia 2/14/2022
B
Maryland 1/4/2022
B
Washington 3/3/2023
IA
Maryland 1/4/2022
B
West Virginia 2/14/2022
B
Minnesota 3/3/2023
B
Wisconsin 3/3/2023
B
Nevada 3/3/2023

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

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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)
36 N WASHINGTON ST, EASTON, MD 21601
300 TILGHMAN RD, SALISBURY, MD 21804
Registered with this firm since 1/4/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
36 N WASHINGTON ST, EASTON, MD 21601
300 TILGHMAN RD, SALISBURY, MD 21804
Registered with this firm since 12/1/2021
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.