Mary Alice Richard

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-01-09
CT	RA	APPROVED	2022-12-13

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Stamford	CT	04/2011	08/2018
Rbc Capital Markets, Llc.	Stamford	CT	08/2018	01/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Westport	CT	01/2021	08/2022
Morgan Stanley Smith Barney Llc	Fairfield	CT	09/2022	12/2022
Wells Fargo Advisors Financial Network, Llc	Fairfield	CT	12/2022	Present

04/2011 → 08/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT
08/2018 → 01/2021

Rbc Capital Markets, Llc.

Stamford, CT
01/2021 → 08/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westport, CT
09/2022 → 12/2022

Morgan Stanley Smith Barney Llc

Fairfield, CT
12/2022 → Present

Wells Fargo Advisors Financial Network, Llc

Fairfield, CT

2022-09-16 → 2022-12-20

Morgan Stanley

Fairfield, CT
2021-02-04 → 2022-08-29

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairfield, CT
2018-08-29 → 2021-01-26

Rbc Capital Markets, Llc

Stamford, CT
2011-04-27 → 2018-08-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT

Stamford, CT
2007-11-14 → 2011-04-21

Wells Fargo Advisors Financial Network, Llc

Fairfield, CT
2003-05-27 → 2007-11-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford , CT

Stamford, CT

HAMILL PRODUCTIONS; NOT INV RELATED; SINGER; STRATFORD, CT; START 12/06/2023; 2 HOURS PER MONTH; 0 HOURS DURING TRADING; SINGER.

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-22
S63	Uniform Securities Agent State Law Examination	1997-04-11

Other Firms