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Allison Dawn Tarpley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mckinney, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-10-18
  • TX RA
    APPROVED
    Since 2014-10-18

Branch Locations

6950 Tpc Dr, Mckinney, TX 75070 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mckinney TX 10/2014 Present
Bank Of America, N.A. Mckinney TX 01/2015 Present
Previous Registrations
  • 2007-08-24 → 2014-10-27
    Ubs Financial Services Inc.
    Mckinney, TX
    Weehawken, NJ
    Plano, TX
    Mckinney, TX
  • 2002-11-15 → 2007-08-29
    A. G. Edwards & Sons, Inc.
    Mckinney, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-08-19
  • S63 Uniform Securities Agent State Law Examination
    1999-08-19
Other Names
  • Allison Dawn Mckinney

View on SEC IAPD

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