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Lefranc J Joseph

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Huntsville, AL

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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 2023-04-05
AL RA APPROVED 2023-03-21
  • TX RA
    APPROVED_RES
    Since 2023-04-05
  • AL RA
    APPROVED
    Since 2023-03-21

Branch Locations

4725 Whitesburg Dr Se, Huntsville, AL 35802 • 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
David Lerner Associates, Inc Teaneck NJ 07/2014 12/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Birmingham AL 12/2022 Present
Bank Of America, N.A. The Woodlands TX 12/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-25
S65 Uniform Investment Adviser Law Examination 2020-08-29
S63 Uniform Securities Agent State Law Examination 2013-01-31
  • S66 Uniform Combined State Law Examination
    2023-07-25
  • S65 Uniform Investment Adviser Law Examination
    2020-08-29
  • S63 Uniform Securities Agent State Law Examination
    2013-01-31
Other Names
  • Lefranc J Joseph
  • Lefranc Junior Joseph

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · HUNTSVILLE, AL
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