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Keith Hugh Hatton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bloomfield Hills, MI

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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 2016-07-12
MI RA APPROVED 2015-09-10
  • TX RA
    APPROVED
    Since 2016-07-12
  • MI RA
    APPROVED
    Since 2015-09-10

Branch Locations

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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
Bank Of America, N.A. Royal Oak IL 07/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Royal Oak IL 07/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-05
S63 Uniform Securities Agent State Law Examination 1998-04-22
  • S65 Uniform Investment Adviser Law Examination
    2015-09-05
  • S63 Uniform Securities Agent State Law Examination
    1998-04-22

View on SEC IAPD

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PROSPERITY WEALTH STRATEGIES LLC · Bloomfield Hills, MI
QUARTON CAPITAL PARTNERS · BIRMINGHAM, MI

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