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Ali Abbas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palm Beach, FL

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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 2016-07-19
FL RA APPROVED 2014-11-12
  • TX RA
    APPROVED_RES
    Since 2016-07-19
  • FL RA
    APPROVED
    Since 2014-11-12

Branch Locations

249 Royal Palm Way, Palm Beach, FL 33480 • 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. Lake Worth FL 10/2014 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lake Worth FL 10/2014 Present
Previous Registrations
  • 2014-01-16 → 2014-10-31
    Bb&T Investment Services, Inc.
    Pompano Beach, FL
    Charlotte, NC
    Davie, FL
    Oakland Park, FL
    Sunrise, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
    Plantation, FL
    Fort Lauderdale, FL
  • 2012-09-10 → 2013-12-23
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Jupiter, FL
    Palm Beach Gardens, FL
    Jupiter, FL
    Palm Beach Gardens, FL
  • 2011-06-21 → 2012-04-30
    Kovack Advisors, Inc.
    Ft. Lauderdale, FL
    North Palm Beach, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-11-14
S65 Uniform Investment Adviser Law Examination 2011-06-02
  • S63 Uniform Securities Agent State Law Examination
    2012-11-14
  • S65 Uniform Investment Adviser Law Examination
    2011-06-02

View on SEC IAPD

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Other Offices

HARLAN CAPITAL PARTNERS LLC · PALM BEACH, FL
SNOWPOINT VENTURES MANAGEMENT, LLC · PALM BEACH, FL
BLUEGRASS CAPITAL PARTNERS LP · PALM BEACH, FL
MORGAN STANLEY · Palm Beach, FL
NORTHERN TRUST SECURITIES, INC. · PALM BEACH, FL
MORGAN STANLEY · Palm Beach, FL
HARVEY CAPITAL MANAGEMENT INC · PALM BEACH, FL
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