David Puka

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2018-05-09
TX	RA	APPROVED_RES	2018-05-09

IL RA
APPROVED

Since 2018-05-09
TX RA
APPROVED_RES

Since 2018-05-09

Branch Locations

3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • United States

Oak Brook, IL • United States

540 W Madison St Ci Relationship Management, Chicago, IL 60661 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Scottrade Inc	Park Ridge	IL	09/2015	03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Rolling Meadows	IL	03/2018	Present
Bank Of America, N.A.	Rolling Meadows	IL	06/2018	Present

09/2015 → 03/2018

Scottrade Inc

Park Ridge, IL
03/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rolling Meadows, IL
06/2018 → Present

Bank Of America, N.A.

Rolling Meadows, IL

Previous Registrations

2017-03-29 → 2018-03-09

Scottrade Investment Management

Saint Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-03-28
S63	Uniform Securities Agent State Law Examination	2016-02-09

S66 Uniform Combined State Law Examination

2017-03-28
S63 Uniform Securities Agent State Law Examination

2016-02-09

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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