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Douglas Matthew Palmer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

New York, NY

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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 2024-12-10
  • CA RA
    APPROVED
    Since 2024-12-10

Branch Locations

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

One Bryant Park, New York, NY 10036 • 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
Wells Fargo Bank Na Walnut Creek/Roseville CA 05/2004 09/2021
Wells Fargo Advisors Llc Roseville CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Roseville CA 11/2016 09/2021
Citigroup Costa Mesa CA 09/2021 11/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 11/2024 Present
Previous Registrations
  • 2021-10-29 → 2024-11-25
    Citigroup Global Markets Inc.
    Tampa, FL
    Costa Mesa, CA
    New York, NY
    Tampa, FL
    Costa Mesa, CA
  • 2011-01-03 → 2021-09-22
    Wells Fargo Clearing Services, Llc
    Roseville, CA
    Minneapolis, MN
    San Diego, CA
    Irvine, CA
    Minneapolis, MN
    Tarpon Springs, FL
  • 2004-08-23 → 2011-01-03
    Wells Fargo Investments, Llc
    Roseville, CA
    Walnut Creek, CA
    Walnut Creek, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-20
  • S66 Uniform Combined State Law Examination
    2004-08-20

View on SEC IAPD

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