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Elizabeth Katherine Roecker

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Waukesha, WI

North Prairie, WI

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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 2017-02-23
WI RA APPROVED 2017-02-22
  • TX RA
    APPROVED_RES
    Since 2017-02-23
  • WI RA
    APPROVED
    Since 2017-02-22

Branch Locations

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States

N19 W24400 Riverwood Dr, Waukesha, WI 53188 • United States

North Prairie, WI • 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
Robert W. Baird Milwaukee WI 08/2006 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Milwaukee WI 02/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-10
S63 Uniform Securities Agent State Law Examination 1999-12-08
  • S66 Uniform Combined State Law Examination
    2007-05-10
  • S63 Uniform Securities Agent State Law Examination
    1999-12-08
Other Names
  • Liz Guest
  • Elizabeth Katherine Guest
  • Elizabeth Katherine Guest
  • Elizabeth Katherine Roecker
  • Liz Roecker
  • Elizabeth Roecker

View on SEC IAPD

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