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Carolyn Bethany Hurley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Niguel, CA

Peoria, AZ

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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 2020-02-28
CA RA APPROVED 2020-02-12
  • TX RA
    APPROVED_RES
    Since 2020-02-28
  • CA RA
    APPROVED
    Since 2020-02-12

Branch Locations

28202 Cabot Rd, Laguna Niguel, CA 92677 • United States

14100 N 83Rd Ave Workplace Benefits, Peoria, AZ 85381 • 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
Rbc Capital Markets, Llc Newport Beach CA 07/2013 01/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 01/2020 Present
Previous Registrations
  • 2013-08-14 → 2020-01-14
    Rbc Capital Markets, Llc
    Newport Beach, CA
    Minneapolis, MN
    Tacoma, WA
  • 2013-03-04 → 2013-08-20
    Bridge Advisory Llc
    Newport Beach, CA
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-03-01
S63 Uniform Securities Agent State Law Examination 1999-08-19
  • S65 Uniform Investment Adviser Law Examination
    2013-03-01
  • S63 Uniform Securities Agent State Law Examination
    1999-08-19
Other Names
  • Carolyn Bethany Hurley
  • Carolyn Bethany Tousignant

View on SEC IAPD

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Other Offices

EHRLICH FINANCIAL GROUP · LAGUNA NIGUEL, CA
TCFG INVESTMENT ADVISORS, LLC · LAGUNA NIGUEL, CA
SENTIENT FINANCIAL, LLC · LAGUNA NIGUEL, CA
LPL FINANCIAL LLC · LAGUNA NIGUEL, CA
MORGAN STANLEY · Laguna Niguel, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA

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