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Linda S Romero

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, AZ

San Francisco, CA

San Tan Valley, 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 2015-10-12
CA RA APPROVED 2015-09-02
  • TX RA
    APPROVED
    Since 2015-10-12
  • CA RA
    APPROVED
    Since 2015-09-02

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • United States

555 California St Pbig - San Francisco, San Francisco, CA 94104 • United States

San Tan Valley, AZ • 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
Bank Of America, N.A. San Francisco CA 12/1977 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 04/2017 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-31
S63 Uniform Securities Agent State Law Examination 2001-06-13
  • S65 Uniform Investment Adviser Law Examination
    2015-08-31
  • S63 Uniform Securities Agent State Law Examination
    2001-06-13
Other Names
  • Linda S Kwong

View on SEC IAPD

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