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Paul Guy Williams

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Scottsdale, AZ

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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 2015-05-15
CA RA APPROVED 2014-12-26
  • TX RA
    APPROVED
    Since 2015-05-15
  • CA RA
    APPROVED
    Since 2014-12-26

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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
Bank Of America, N.A. Palo Alto CA 03/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palo Alto CA 10/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-24
S63 Uniform Securities Agent State Law Examination 2004-05-06
  • S65 Uniform Investment Adviser Law Examination
    2014-12-24
  • S63 Uniform Securities Agent State Law Examination
    2004-05-06
Other Names
  • Paul Williams

View on SEC IAPD

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