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L M Ross

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-07-20
TX RA APPROVED_RES 2015-07-20
  • CA RA
    APPROVED
    Since 2015-07-20
  • TX RA
    APPROVED_RES
    Since 2015-07-20

Branch Locations

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • 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 Chandler AZ 03/2015 Present
Bank Of America, N.A. Chandler AZ 03/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-17
S63 Uniform Securities Agent State Law Examination 2014-06-09
  • S66 Uniform Combined State Law Examination
    2015-07-17
  • S63 Uniform Securities Agent State Law Examination
    2014-06-09
Other Names
  • Michael Ross
  • Larren Michael Ross

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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