Individual Firm
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JOHN ALBERT HINKEN
CRD#: 873876
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 101 E KENNEDY BLVD
TAMPA, FL 33602
TAMPA, FL 33602
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7/11/2003
Customer Dispute
Settled
10/5/1993
Customer Dispute
Settled
State Registrations
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Alabama 10/14/1989
B
New Hampshire 11/17/2011
B
Arizona 4/26/2004
B
New Jersey 11/17/2011
B
California 5/14/2003
B
New Mexico 1/27/2004
B
Colorado 11/16/2011
B
New York 11/16/2011
B
Delaware 7/1/2024
B
North Carolina 1/23/1992
B
Florida 5/9/1983
B
Ohio 11/17/2011
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Florida 5/9/1983
B
Oregon 7/16/2007
B
Georgia 11/9/2005
B
Pennsylvania 11/16/2011
B
Illinois 11/16/2011
B
South Carolina 11/18/2011
B
Indiana 1/8/1993
B
Tennessee 11/16/2011
B
Maryland 11/16/2011
B
Texas 11/29/2011
B
Massachusetts 6/1/2009
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Texas 11/19/2012
B
Mississippi 7/23/2015
B
Virginia 5/17/2004
B
Missouri 7/2/2020
B
Washington 11/16/2011
B
Nevada 11/29/2011
B
Wisconsin 11/16/2011
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 5/9/1983
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Registered with this firm since 11/23/1979
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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.