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Colin Thomas Babb

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Brea, 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 2019-04-08
CA RA APPROVED 2016-08-08
  • TX RA
    APPROVED_RES
    Since 2019-04-08
  • CA RA
    APPROVED
    Since 2016-08-08

Branch Locations

145 S State College Blvd, Brea, CA 92821 • 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 Brea CA 08/2016 Present
Bank Of America, N.A. Brea CA 09/2016 Present
Previous Registrations
  • 2009-10-19 → 2016-08-09
    Cuso Financial Services, L.P.
    La Habra, CA
    Orange, CA
    San Diego, CA
    Buena Park, CA
  • 2009-03-12 → 2009-10-26
    Msi Financial Services, Inc.
    Irvine, CA
  • 2007-11-05 → 2008-12-22
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Seal Beach, CA
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-28
  • S66 Uniform Combined State Law Examination
    2007-09-28

View on SEC IAPD

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