Search for: "Pierce, Fenner & Smith Incorporated"
Results 101 - 120
of 257
Sort by Relevance
|
Sort by Date
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roumayeh was employed by his prior employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) prior to being investigated concerning his activities. [read post]
3 Sep 2020, 8:38 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Elizabeth Sollars Allstate Financial Services, LLC Junior Tonkam PFS Investments Inc. [read post]
3 Sep 2020, 8:21 am
Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Scott McVicker Market Wise Securities, inc. [read post]
27 Jul 2020, 9:42 am
ING Financial Advisers, LLC Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Jennifer Pendley J.P. [read post]
21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
23 Jun 2020, 6:19 am
From September 2011 through March 2014 Ayre was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
16 Jun 2020, 7:14 am
Liberty Tree Advisors, LLC Rachael Konz Merrill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley Jonathan Lake Wells Fargo Clearing Services, LLC Morgan Stanley Douglas Leone Salomon Whitney Financial Newport Coast Securities, Inc. [read post]
16 Jun 2020, 6:40 am
According to FINRA Disciplinary actions for May 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS George Belesis Portfolio Advisors Alliance, LLC John Thomas Financial Dustin Blount MML Investors Services, LLC Northwestern Mutual Investment Services, LLC… [read post]
11 May 2020, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Juan Barreras (Barreras), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least five customer complaints during the course of his career. [read post]
8 May 2020, 12:02 pm
Before working for Next Financial Group, he worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691). [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
31 Mar 2020, 6:13 am
Prithviraj Dhandapani LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Davrion Hemphill Fernando Landicho Transamerica Financial Advisors,Inc. [read post]
31 Jan 2020, 11:13 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Heather Weber (Weber), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least ten customer complaints during the course of her career. [read post]
28 Jan 2020, 7:21 am
Hutton & Company (CRD#: 235), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), and Oppenheimer & Co. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
9 Jan 2020, 6:56 am
Incorporated (CRD#:8209) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of McLean, VA. [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
24 Dec 2019, 8:12 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. [read post]
