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Sarah Harkins Flick

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Las Vegas, NV

Pasadena, 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
NV RA APPROVED 2025-10-22
CA RA APPROVED 2009-01-14
TX RA APPROVED 2009-01-13
  • NV RA
    APPROVED
    Since 2025-10-22
  • CA RA
    APPROVED
    Since 2009-01-14
  • TX RA
    APPROVED
    Since 2009-01-13

Branch Locations

400 S Rampart Blvd, Las Vegas, NV 89145 • United States

800 E Colorado Blvd, Pasadena, CA 91101 • 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 : 7691 Rancho Santa Fe CA 01/2009 Present
Bank Of America, N.A. Pasadena CA 05/2018 Present
  • 01/2009 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Rancho Santa Fe, CA
  • 05/2018 → Present
    Bank Of America, N.A.
    Pasadena, CA
Previous Registrations
  • 2007-04-02 → 2009-01-14
    Morgan Stanley & Co. Llc
    Rancho Sante Fe, CA
  • 2006-06-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Rancho Sante Fe, CA
  • 2004-03-31 → 2006-04-24
    J.P. Morgan Securities Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-29
  • S66 Uniform Combined State Law Examination
    2004-03-29
Other Names
  • Sarah L. Harkins
  • Sarah L Harkins

View on SEC IAPD

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Other Offices

YH&C INVESTMENTS INC. · LAS VEGAS, NV
MM MACHINE, LLC · LAS VEGAS, NV
QUANTIFIX CAPITAL MANAGEMENT, LLC · LAS VEGAS, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAS VEGAS, NV
AI AGENT CAPITAL, LLC · LAS VEGAS, NV
BETTER CAPITAL MANAGEMENT LLC · LAS VEGAS, NV
U.S. BANCORP ADVISORS, LLC · Las Vegas, NV
ROSTEN CAPITAL INVESTMENTS LLC · LAS VEGAS, NV

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