Best Investors Account Sign in

Louise Fallon

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Chandler , AZ

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-07-23
CT RA APPROVED 2010-06-14
  • CA RA
    APPROVED
    Since 2026-07-23
  • CT RA
    APPROVED
    Since 2010-06-14

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

2505 W Chandler Blvd, Chandler , AZ 85224 • 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, Inc. Fall River MA 04/2010 Present
  • 04/2010 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Fall River, MA
Previous Registrations
  • 2009-06-01 → 2010-04-08
    Morgan Stanley
    Providence, RI
  • 2008-06-05 → 2009-06-01
    Morgan Stanley & Co. Llc
    Providence, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-02
S63 Uniform Securities Agent State Law Examination 1998-08-24
  • S65 Uniform Investment Adviser Law Examination
    2008-06-02
  • S63 Uniform Securities Agent State Law Examination
    1998-08-24
Other Names
  • Loise Fallon
  • Louise Fallon
  • Louise Powell

View on SEC IAPD

More in New York, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor