Best Investors Account Sign in

David Finci

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

San Francisco, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-04-14
  • CA RA
    APPROVED
    Since 2014-04-14

Branch Locations

San Francisco, CA • United States

555 California St, San Francisco, CA 94104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 04/2014 Present
Bank Of America, N.A. San Francisco CA 06/2014 Present
Previous Registrations
  • 2009-06-01 → 2014-04-14
    Morgan Stanley
    Cupertino, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Cupertino, CA
  • 2007-03-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Cupertino, CA
  • 2001-10-02 → 2007-03-26
    Citigroup Global Markets Inc.
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-13
S63 Uniform Securities Agent State Law Examination 1987-12-02
  • S65 Uniform Investment Adviser Law Examination
    2001-04-13
  • S63 Uniform Securities Agent State Law Examination
    1987-12-02
Other Names
  • David Finci

View on SEC IAPD

More in San Francisco, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor