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Rory Regan Barney

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sacramento, 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 2007-01-24
CA RA APPROVED 2006-07-18
  • TX RA
    APPROVED_RES
    Since 2007-01-24
  • CA RA
    APPROVED
    Since 2006-07-18

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • 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 Yes
  • 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 Sacramento CA 06/2006 Present
Bank Of America, N.A. Sacramento CA 09/2009 Present
Previous Registrations
  • 2002-10-29 → 2003-09-22
    E*Trade Advisory Services, Inc.
    Rancho Cordova, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-22
S63 Uniform Securities Agent State Law Examination 2000-06-21
  • S65 Uniform Investment Adviser Law Examination
    2006-07-22
  • S63 Uniform Securities Agent State Law Examination
    2000-06-21

View on SEC IAPD

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