Richard Allen Jones

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	2009-08-17
CA	RA	APPROVED	1997-07-08

TX RA
APPROVED_RES

Since 2009-08-17
CA RA
APPROVED

Since 1997-07-08

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • United States

Palm Desert, CA • 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	Santa Monica	CA	08/1989	Present
Bank Of America, N.A.	Santa Monica	CA	09/2009	Present

08/1989 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Monica, CA
09/2009 → Present

Bank Of America, N.A.

Santa Monica, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-04-21
S63	Uniform Securities Agent State Law Examination	1989-11-09

S65 Uniform Investment Adviser Law Examination

1995-04-21
S63 Uniform Securities Agent State Law Examination

1989-11-09

Other Names

Rick Jones