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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 2019-06-03
NJ RA APPROVED 2019-05-30
  • TX RA
    APPROVED_RES
    Since 2019-06-03
  • NJ RA
    APPROVED
    Since 2019-05-30

Branch Locations

25 N Maple Ave, Ridgewood, NJ 07450 • United States

252 Rock Rd, Glen Rock, NJ 07452 • United States

177 E Saddle River Rd, Saddle River, NJ 07458 • 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 Advisors, Llc. Ridgewood NJ 04/2013 11/2016
Wells Fargo Bank Na Ridgewood NJ 04/2013 04/2019
Wells Fargo Clearing Services, Llc Ridgewood NJ 11/2016 04/2019
Bank Of America, N.A. Rutherford NJ 04/2019 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rutherford NJ 04/2019 Present
  • 04/2013 → 11/2016
    Wells Fargo Advisors, Llc.
    Ridgewood, NJ
  • 04/2013 → 04/2019
    Wells Fargo Bank Na
    Ridgewood, NJ
  • 11/2016 → 04/2019
    Wells Fargo Clearing Services, Llc
    Ridgewood, NJ
  • 04/2019 → Present
    Bank Of America, N.A.
    Rutherford, NJ
  • 04/2019 → Present
    Rutherford, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-23
S63 Uniform Securities Agent State Law Examination 2000-05-30
  • S66 Uniform Combined State Law Examination
    2019-05-23
  • S63 Uniform Securities Agent State Law Examination
    2000-05-30
Other Names
  • Scott Robert Doughty
  • Scott R Doughty
  • Scott Doughty

View on SEC IAPD

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