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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Alexander Miller | 5367504 | 2 | 07/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Anthony Mielecki | 6443767 | 1 | 07/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Woodley Thebaud | 7705150 | 5 | 06/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Woodley Thebaud | 7705150 | 5 | 06/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Minh Phuong Phan | 7415931 | 3 | 06/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erika Hannah Zuluaga | 7687010 | 9 | 06/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thaddeus Jean Baptiste | 6921425 | 4 | 06/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thaddeus Jean Baptiste | 6921425 | 4 | 06/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thaddeus Jean Baptiste | 6921425 | 4 | 06/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lawanda Thomas | 6641959 | 3 | 06/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |