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Herbert H Ludlam

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bradenton, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-06-18
TX RA APPROVED 2019-05-21
  • FL RA
    APPROVED
    Since 2019-06-18
  • TX RA
    APPROVED
    Since 2019-05-21

Branch Locations

6311 Atrium Dr, Bradenton, FL 34202 • 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
Raymond James & Associates St Petersburg FL 09/2015 02/2019
Harmony Asset Management Palmetto FL 02/2019 05/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sarasota FL 05/2019 Present
Bank Of America, N.A. Sarasota FL 05/2019 Present
  • 09/2015 → 02/2019
    Raymond James & Associates
    St Petersburg, FL
  • 02/2019 → 05/2019
    Harmony Asset Management
    Palmetto, FL
  • 05/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Sarasota, FL
  • 05/2019 → Present
    Bank Of America, N.A.
    Sarasota, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-21
  • S66 Uniform Combined State Law Examination
    2012-12-21
Other Names
  • Herbert H Ludlam
  • Herbert H Ludlam
  • Herbert Ludlam

View on SEC IAPD

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