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Marguerite Travis Rowland

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Louisville, KY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2012-11-02
TX RA APPROVED 2012-11-02
  • KY RA
    APPROVED
    Since 2012-11-02
  • TX RA
    APPROVED
    Since 2012-11-02

Branch Locations

101 Bullitt Ln, Louisville, KY 40222 • 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 (7691) Louisville KY 11/2012 Present
Bank Of America, N.A. Louisville KY 01/2013 Present
  • 11/2012 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Louisville, KY
  • 01/2013 → Present
    Bank Of America, N.A.
    Louisville, KY
Previous Registrations
  • 2004-03-26 → 2012-11-12
    Ubs Financial Services Inc.
    Louisville, KY
    Louisville, KY
  • 1995-03-15 → 2004-04-08
    Banc One Securities Corporation
    Louisville, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-14
S63 Uniform Securities Agent State Law Examination 1989-04-04
  • S65 Uniform Investment Adviser Law Examination
    1995-12-14
  • S63 Uniform Securities Agent State Law Examination
    1989-04-04
Other Names
  • Sara Marguerite Travis Rowland
  • Sara Marguerite Travis

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
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WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
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