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Richard Jeffrey Lober

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hazlet, NJ

Middletown, NJ

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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 2016-07-26
NJ RA APPROVED 2016-03-11
  • TX RA
    APPROVED_RES
    Since 2016-07-26
  • NJ RA
    APPROVED
    Since 2016-03-11

Branch Locations

2 Bethany Rd, Hazlet, NJ 07730 • United States

1184 Hwy 35, Middletown, NJ 07748 • 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 Hazlet NJ 02/2016 Present
Bank Of America, N.A. Hazlet NJ 02/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-15
S63 Uniform Securities Agent State Law Examination 2000-07-10
  • S65 Uniform Investment Adviser Law Examination
    2011-11-15
  • S63 Uniform Securities Agent State Law Examination
    2000-07-10
Other Names
  • Rich Lober
  • Richard Jeffery Lober

View on SEC IAPD

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Other Offices

SHAPIRO FINANCIAL SECURITY GROUP, INC. · HAZLET, NJ
CETERA INVESTMENT ADVISERS LLC · HAZLET, NJ
OSAIC WEALTH, INC. · HAZLET, NJ
SHAPIRO FINANCIAL SECURITY GROUP, INC. · HAZLET, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · HAZLET, NJ
CALTON & ASSOCIATES, INC. · Hazlet, NJ
J.P. MORGAN SECURITIES LLC · HAZLET, NJ
A.G.P. / ALLIANCE GLOBAL PARTNERS · Holmdel, NJ

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