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Kenneth Roy Grossnickle

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, 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_RES 2012-06-15
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Phoenix AZ 10/2009 Present
Bank Of America, Na Phoenix AZ 11/2009 Present
Previous Registrations
  • 2002-08-15 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Phoenix, AZ
    Phoenix, AZ
    Sun City, AZ
    Phoenix, AZ
    Sun City, AZ
    Sun City, AZ
    Glendale, AZ
    Glendale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-24
S63 Uniform Securities Agent State Law Examination 1996-11-08
  • S65 Uniform Investment Adviser Law Examination
    1998-03-24
  • S63 Uniform Securities Agent State Law Examination
    1996-11-08
Other Names
  • Ken Grossnickle
  • Kenneth Grossnickle

View on SEC IAPD

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