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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 2007-04-10
CA RA APPROVED 2002-01-30
  • TX RA
    APPROVED_RES
    Since 2007-04-10
  • CA RA
    APPROVED
    Since 2002-01-30

Branch Locations

2998 Douglas Blvd, Roseville, CA 95661 • United States

Placerville, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Folsom CA 10/2001 Present
Bank Of America, N.A. Folsom CA 07/2011 Present
  • 10/2001 → Present
    Merrill Lynch
    Folsom, CA
  • 07/2011 → Present
    Bank Of America, N.A.
    Folsom, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-08
  • S66 Uniform Combined State Law Examination
    2002-01-08
Other Names
  • Scott Anthony Caldwell

View on SEC IAPD

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