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Frederick Warner Heath

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boulder, CO

Niwot, CO

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2012-07-24
VA RA APPROVED 2005-04-15
  • CO RA
    APPROVED
    Since 2012-07-24
  • VA RA
    APPROVED
    Since 2005-04-15

Branch Locations

921 Walnut St, Boulder, CO 80302 • United States

Niwot, CO • 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 Vienna VA 04/2005 Present
Bank Of America, Na Reston VA 12/2009 Present
  • 04/2005 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Vienna, VA
  • 12/2009 → Present
    Bank Of America, Na
    Reston, VA
Previous Registrations
  • 2000-10-02 → 2005-04-18
    Morgan Stanley Dw Inc.
    Reston, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-09
  • S66 Uniform Combined State Law Examination
    1999-09-09
Other Names
  • Rick Heath
  • Frederick Warner Heath
  • Rick Heath

View on SEC IAPD

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