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Austin Peffers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saint Petersburg, 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
TX RA APPROVED 2021-10-06
FL RA APPROVED 2020-10-23
  • TX RA
    APPROVED
    Since 2021-10-06
  • FL RA
    APPROVED
    Since 2020-10-23

Branch Locations

200 Central Ave, Saint Petersburg, FL 33701 • 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
Runaway Island Grill Panama City Beach FL 04/2016 08/2017
5 Sisters Blues Cafe Pensacola FL 05/2018 11/2018
University Of West Florida Pensacola FL 08/2015 12/2018
Florida Financial Advisors Tampa FL 12/2018 08/2020
Trinity Wealth Securities Llc Tampa FL 03/2019 07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saint Petersburg FL 09/2020 Present
  • 04/2016 → 08/2017
    Runaway Island Grill
    Panama City Beach, FL
  • 05/2018 → 11/2018
    5 Sisters Blues Cafe
    Pensacola, FL
  • 08/2015 → 12/2018
    University Of West Florida
    Pensacola, FL
  • 12/2018 → 08/2020
    Florida Financial Advisors
    Tampa, FL
  • 03/2019 → 07/2020
    Trinity Wealth Securities Llc
    Tampa, FL
  • 09/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Saint Petersburg, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-02
S65 Uniform Investment Adviser Law Examination 2019-06-29
  • S66 Uniform Combined State Law Examination
    2020-12-02
  • S65 Uniform Investment Adviser Law Examination
    2019-06-29

View on SEC IAPD

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