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 |
|---|---|---|---|---|---|---|---|---|
| Laura Beth Momber | 5366890 | 15 | 07/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Corneilius Callahan | 2269404 | 6 | 07/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tanner Regis Cogar | 6449905 | 1 | 07/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus A Utt | 7624038 | 4 | 07/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Corneilius Callahan | 2269404 | 6 | 06/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Steven Gallen | 4317253 | 2 | 06/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Watson | 7060926 | 2 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Shu Perez | 7058190 | 2 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Rose Jordheim | 7624563 | 1 | 06/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daelynn B Seiler | 6460932 | 1 | 06/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |