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Ramona E Bachman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

Chandler, 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
CA RA APPROVED 2015-11-06
NM RA APPROVED 2014-01-14
TX RA APPROVED 2014-01-13
  • CA RA
    APPROVED
    Since 2015-11-06
  • NM RA
    APPROVED
    Since 2014-01-14
  • TX RA
    APPROVED
    Since 2014-01-13

Branch Locations

2555-2595 W Chandler Blvd, Chandler, AZ 85224 • United States

2555-2595 W Chandler Blvd Global Human Resources- The Academy, Chandler, AZ 85224 • 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 Phoenix AZ 09/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-13
S63 Uniform Securities Agent State Law Examination 1998-09-16
  • S65 Uniform Investment Adviser Law Examination
    2014-01-13
  • S63 Uniform Securities Agent State Law Examination
    1998-09-16
Other Names
  • Ramona Elisa Mendoza
  • Ramona Elisa Mendoza

View on SEC IAPD

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Other Investors

Aaron D Hyde
Kelly A Luft
ADRIENNE TERENA BORCHERS
Eric Sitton
SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
Christine Lynne Lobdell Raney

Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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