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Barbara Harboldt

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Tucson, AZ

Sierra Vista, 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
TX RA APPROVED 2013-10-15
CA RA APPROVED 2013-06-26
  • TX RA
    APPROVED
    Since 2013-10-15
  • CA RA
    APPROVED
    Since 2013-06-26

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • United States

3500 E Sunrise Dr, Tucson, AZ 85718 • United States

Sierra Vista, AZ • 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 Newport Beach CA 01/1997 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-17
  • S66 Uniform Combined State Law Examination
    2013-06-17

View on SEC IAPD

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