Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
WILLIAM ALBERT CECIL
BILL CECIL, WILLIAM A CECIL
CRD#: 838550
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 SPECTRUM CENTER DR
IRVINE, CA 92618
Registration History
1980198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - Present (37 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - Present (46 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1977 - 1978 (1 year)
Disclosure(s)
View By:
9/17/2002
Customer Dispute
Denied
10/7/1991
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/4/2023
B
Missouri 11/6/2007
B
Arizona 2/28/1992
B
Nevada 8/25/1983
B
California 3/24/1984
B
New Mexico 4/3/2014
IA
California 7/8/1997
B
New York 11/8/2023
B
Colorado 2/8/1991
B
North Carolina 11/2/2009
B
Connecticut 6/22/2000
B
Ohio 6/13/2013
B
District of Columbia 8/14/2018
B
Oregon 11/24/1987
B
Florida 11/16/2017
B
South Carolina 6/8/1994
B
Georgia 12/7/2005
B
Tennessee 8/1/2022
B
Hawaii 2/27/2023
B
Texas 11/25/1987
B
Idaho 5/25/2021
IA
Texas 11/25/1987
B
Illinois 9/11/2023
B
Utah 7/13/2015
B
Iowa 4/27/1995
B
Virginia 1/9/2023
B
Kentucky 6/4/1991
B
Washington 11/24/1987
B
Louisiana 6/26/2020
B
West Virginia 4/28/2022
B
Massachusetts 6/9/2022
B
Wyoming 5/2/2022

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)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Registered with this firm since 11/25/1987
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 SPECTRUM CENTER DR, IRVINE, CA 92618
Registered with this firm since 9/26/1978
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/01/1977 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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.