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David Joseph Cereghino

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Walnut Creek, CA

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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 2011-02-10
CA RA APPROVED 2009-11-24
  • TX RA
    APPROVED_RES
    Since 2011-02-10
  • CA RA
    APPROVED
    Since 2009-11-24

Branch Locations

1331 N California Blvd, Walnut Creek, CA 94596 • 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 Walnut Creek CA 11/2009 Present
Bank Of America, N.A. Walnut Creek CA 08/2010 Present
Previous Registrations
  • 2007-05-29 → 2009-12-10
    Citigroup Global Markets Inc.
    San Jose, CA
    San Francisco, CA
    Oakland, CA
    Lafayette, CA
    Napa, CA
    Walnut Creek, CA
    Orinda, CA
  • 2003-01-27 → 2007-05-29
    Citicorp Investment Services
    San Francisco, CA
    Orinda, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-09
S63 Uniform Securities Agent State Law Examination 1997-04-09
  • S65 Uniform Investment Adviser Law Examination
    1997-07-09
  • S63 Uniform Securities Agent State Law Examination
    1997-04-09
Other Names
  • David J Cereghino

View on SEC IAPD

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