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John Spruill

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Barbara, CA

Oxnard Beach, CA

CRD 3268802

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-01-25
CA RA APPROVED 2009-05-28
  • TX RA
    APPROVED_RES
    Since 2010-01-25
  • CA RA
    APPROVED
    Since 2009-05-28

Branch Locations

1424 State St, Santa Barbara, CA 93101 • United States

Oxnard Beach, CA • 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 Santa Barbara CA 04/2009 Present
Bank Of America,N.A. Santa Barbara CA 06/2011 Present
  • 04/2009 → Present
    Merrill Lynch
    Santa Barbara, CA
  • 06/2011 → Present
    Bank Of America,N.A.
    Santa Barbara, CA
Previous Registrations
  • 2006-08-10 → 2009-05-15
    Citigroup Global Markets Inc.
    Santa Barbara, CA
  • 2005-09-02 → 2006-07-31
    First Command Brokerage Services, Inc.
    Port Hueneme, CA
    Lompoc, CA
  • 2005-01-04 → 2005-09-02
    First Command Bank
    Fort Worth, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-12
S63 Uniform Securities Agent State Law Examination 1999-08-20
  • S65 Uniform Investment Adviser Law Examination
    2004-11-12
  • S63 Uniform Securities Agent State Law Examination
    1999-08-20
Other Names
  • John Robert Spruill

View on SEC IAPD

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Nearby Investors

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Nearby Offices

CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA

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