Best Investors Account Sign in

Denise Yuu

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hartford, CT

Farmington, CT

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

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2011-04-15
  • CT RA
    APPROVED
    Since 2011-04-15

Branch Locations

185 Asylum St City Place Ii, 14Th Fl, Hartford, CT 06103 • United States

9 Melrose Dr, Farmington, CT 06032 • 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 Incorporated Hartford CT 04/2011 Present
Bank Of America, N.A. Hartford CT 07/2011 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-15
S63 Uniform Securities Agent State Law Examination 1997-04-09
  • S65 Uniform Investment Adviser Law Examination
    1997-04-15
  • S63 Uniform Securities Agent State Law Examination
    1997-04-09

View on SEC IAPD

Other Firms

NEBRODI PARTNERS, LLC
MORGAN STANLEY
ERNST & YOUNG INVESTMENT ADVISERS LLP
ROCKEFELLER FINANCIAL LLC
BRADLEY FOSTER & SARGENT INC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
LPL FINANCIAL LLC
INTEGRATED ADVISORS NETWORK LLC

Other Investors

RANDY SCOTT HOLMEEN
PETER NILS JUNGGREN
JONATHAN TAYLOR KEENEY FRUCCE
Cassandra R Beauvais
Danny Alberto Parenteau
STEVEN THOMAS NORRIS
SALVATORE JOSEPH TARTAGLIONE
TIMOTHY DONALD BRODERICK

Other Offices

NEBRODI PARTNERS, LLC · HARTFORD, CT
MORGAN STANLEY · Hartford, CT
ERNST & YOUNG INVESTMENT ADVISERS LLP · HARTFORD, CT
ROCKEFELLER FINANCIAL LLC · Hartford, CT
BRADLEY FOSTER & SARGENT INC · HARTFORD, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HARTFORD, CT
BRADLEY FOSTER & SARGENT INC · Hartford, CT
BRADLEY FOSTER & SARGENT INC · HARTFORD, CT

More in Hartford, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor