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Larry A Pozzi

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fort Myers, FL

Rock Island, IL

Davenport, IA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-02-01
TX RA APPROVED_RES 2001-03-21
IL RA APPROVED 2000-10-10
IA RA APPROVED 2000-10-09
  • FL RA
    APPROVED
    Since 2018-02-01
  • TX RA
    APPROVED_RES
    Since 2001-03-21
  • IL RA
    APPROVED
    Since 2000-10-10
  • IA RA
    APPROVED
    Since 2000-10-09

Branch Locations

Fort Myers, FL • United States

Rock Island, IL • United States

4550 E 53Rd St, Davenport, IA 52807 • 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 Davenport IA 06/2000 Present
Bank Of America, N.A. Davenport IA 07/2011 Present
  • 06/2000 → Present
    Merrill Lynch,Pierce, Fenner & Smith
    Davenport, IA
  • 07/2011 → Present
    Bank Of America, N.A.
    Davenport, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-02
S66 Uniform Combined State Law Examination 2000-08-30
  • S65 Uniform Investment Adviser Law Examination
    2005-06-02
  • S66 Uniform Combined State Law Examination
    2000-08-30
Other Names
  • Larry A. Pozzi

View on SEC IAPD

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