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Scott K Sims

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA

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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 2014-10-30
CA RA APPROVED 2010-07-20
  • TX RA
    APPROVED_RES
    Since 2014-10-30
  • CA RA
    APPROVED
    Since 2010-07-20

Branch Locations

12830 El Camino Real, San Diego, CA 92130 • 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
Merrill Lynch San Diego CA 06/2010 Present
Bank Of America, Na San Diego CA 07/2010 Present
  • 06/2010 → Present
    Merrill Lynch
    San Diego, CA
  • 07/2010 → Present
    Bank Of America, Na
    San Diego, CA
Previous Registrations
  • 2005-03-17 → 2009-02-27
    Banc Of America Investment Services, Inc.
    Oceanside, CA
    Carlsbad, CA
    Vista, CA
    Oceanside, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-16
  • S66 Uniform Combined State Law Examination
    2005-03-16
Other Names
  • Scott Sims
  • Kennard Sims
  • Scott Kennard Sims

View on SEC IAPD

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