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David S Laub

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA

Las Vegas, NV

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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 2016-01-21
ID RA APPROVED 2012-12-03
NV RA APPROVED 2009-02-17
TX RA APPROVED 2009-02-16
  • CA RA
    APPROVED
    Since 2016-01-21
  • ID RA
    APPROVED
    Since 2012-12-03
  • NV RA
    APPROVED
    Since 2009-02-17
  • TX RA
    APPROVED
    Since 2009-02-16

Branch Locations

11811 Bernardo Plaza Ct, San Diego, CA 92128 • United States

400 S Rampart Blvd, Las Vegas, NV 89145 • 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 Las Vegas NV 08/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-13
S63 Uniform Securities Agent State Law Examination 2000-05-18
  • S65 Uniform Investment Adviser Law Examination
    2009-02-13
  • S63 Uniform Securities Agent State Law Examination
    2000-05-18
Other Names
  • David Sean Laub

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
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