Best Investors Account Sign in

Robert L D'AUteuil

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-27
RI RA APPROVED 2014-07-14
  • TX RA
    APPROVED_RES
    Since 2016-07-27
  • RI RA
    APPROVED
    Since 2014-07-14

Branch Locations

3400 Pawtucket Ave Ci Client Management, Riverside, RI 02915 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 05/2013 Present
Organo Gold Cranston RI 07/2012 01/2017
Bank Of America, N.A. Lincoln RI 07/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-07-11
S63 Uniform Securities Agent State Law Examination 2012-03-24
  • S65 Uniform Investment Adviser Law Examination
    2014-07-11
  • S63 Uniform Securities Agent State Law Examination
    2012-03-24
Other Names
  • Robert Louis Dauteuil

View on SEC IAPD

More in Riverside, RI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor