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Carina M Porterfield

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA

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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 2019-09-06
CA RA APPROVED 2019-09-05
  • TX RA
    APPROVED
    Since 2019-09-06
  • CA RA
    APPROVED
    Since 2019-09-05

Branch Locations

12830 El Camino Real, San Diego, CA 92130 • 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
Morgan Stanley Smith Barney Llc La Jolla CA 04/2013 08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 08/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-17
S63 Uniform Securities Agent State Law Examination 2003-06-02
  • S66 Uniform Combined State Law Examination
    2007-07-17
  • S63 Uniform Securities Agent State Law Examination
    2003-06-02
Other Names
  • Carina Marie Ferlander
  • Carina Lindsey
  • Carina Marie Lindsey
  • Carina Lindsey
  • Carina Marie Lindsey
  • Carina Marie Lindsey
  • Carina Lindsey
  • Carina Marie Lindsey
  • Carina Marie Porterfield
  • Carina Marie Lindsey
  • Carina Porterfield

View on SEC IAPD

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