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Ali R Coleman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Roseville, 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 2019-04-22
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2019-04-22
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

2998 Douglas Blvd, Roseville, CA 95661 • 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 West Sacramento CA 10/2009 Present
Bank Of America, N.A. Roseville CA 07/2011 Present
Previous Registrations
  • 2007-03-16 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Roseville, CA
    Sacramento, CA
    Sacramento, CA
    West Sacramento, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-15
S63 Uniform Securities Agent State Law Examination 2003-12-17
  • S66 Uniform Combined State Law Examination
    2007-03-15
  • S63 Uniform Securities Agent State Law Examination
    2003-12-17
Other Names
  • Ali R Coleman
  • Ali Rockman Coleman

View on SEC IAPD

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