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Curtis Godt

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sacramento, CA

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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_RES 2011-09-23
CA RA APPROVED 2011-09-12
  • TX RA
    APPROVED_RES
    Since 2011-09-23
  • CA RA
    APPROVED
    Since 2011-09-12

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • 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 Sacramento CA 08/2011 Present
Bank Of America, N.A. Sacramento CA 10/2011 Present
Previous Registrations
  • 2011-03-09 → 2011-07-28
    Sorrento Pacific Financial, Llc
    San Diego, CA
  • 2009-10-01 → 2011-03-08
    Edward Jones
    Folsom, CA
    Sacramento, CA
  • 2006-07-03 → 2009-07-24
    Wells Fargo Investments, Llc
    Sacramento, CA
  • 2000-07-06 → 2006-07-10
    Piper Sandler & Co.
    Sacramento, CA
    Sacramento, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-18
S63 Uniform Securities Agent State Law Examination 1989-04-12
  • S65 Uniform Investment Adviser Law Examination
    1998-12-18
  • S63 Uniform Securities Agent State Law Examination
    1989-04-12
Other Names
  • Curtis Godt
  • Curtis Bruce Godt

View on SEC IAPD

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