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Bernard Carlos Lau

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ

Greenwood Village, CO

Parker, CO

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2012-11-27
TX RA APPROVED 2012-11-27
  • CO RA
    APPROVED
    Since 2012-11-27
  • TX RA
    APPROVED
    Since 2012-11-27

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • United States

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States

Parker, CO • 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, Inc. Jacksonville FL 08/1999 Present
  • 08/1999 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Jacksonville, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-26
S63 Uniform Securities Agent State Law Examination 2000-03-03
  • S66 Uniform Combined State Law Examination
    2012-11-26
  • S63 Uniform Securities Agent State Law Examination
    2000-03-03

View on SEC IAPD

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