Scot Thomas Benefiel

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-02-10
CA	RA	APPROVED	2006-01-06

TX RA
APPROVED_RES

Since 2011-02-10
CA RA
APPROVED

Since 2006-01-06

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • United States

520 Newport Center Dr, Newport Beach, CA 92660 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Phoenix	AZ	12/2005	Present
Bank Of America,N.A.	Scottsdale	AZ	06/2011	Present

12/2005 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, AZ
06/2011 → Present

Bank Of America,N.A.

Scottsdale, AZ

Previous Registrations

1996-12-06 → 2003-04-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ

Other Businesses

I*77403 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RS HOYT JR. FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: 5202 S. 40TH STREET, PHOENIX, ARIZONA 85040 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 12/11/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-01-05
S63	Uniform Securities Agent State Law Examination	1989-08-31

S66 Uniform Combined State Law Examination

2006-01-05
S63 Uniform Securities Agent State Law Examination

1989-08-31

View on SEC IAPD