Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Stefan Nicholas | 6177685 | 1 | 11/17/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 11/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Blumenfeld | 5068295 | 1 | 11/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ne'Quan Williams | 7329147 | 3 | 11/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Uvan A Stewart | 7446442 | 1 | 10/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marie Elizabeth Hamilton | 2752685 | 4 | 10/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 10/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ne'Quan Williams | 7329147 | 3 | 10/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naromie Saint-Clair | 5544877 | 12 | 10/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Irwin-Richardson | 2940021 | 2 | 10/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |