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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 2012-05-08
TX RA APPROVED 2012-04-20
  • FL RA
    APPROVED
    Since 2012-05-08
  • TX RA
    APPROVED
    Since 2012-04-20

Branch Locations

1819 Main St, Sarasota, FL 34236 • 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 Sarasota FL 04/2012 Present
Bank Of America, N.A. Sarasota FL 05/2012 Present
Previous Registrations
Other Businesses

I*2026413, Entity Type, Entity for Profit, Name of OBA: Gimme LLC, Address: Sarasota, FL, 34238, Investment Related: No, Position, Title, Association: Officer, Employee Start Date: 02/26/2019, No Hours: 10hrs/Ann, No Hours during trading: 0, Duties: LLC only owns a secondary home in NJ for asset protection.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-02
S63 Uniform Securities Agent State Law Examination 1992-10-02
  • S66 Uniform Combined State Law Examination
    2005-03-02
  • S63 Uniform Securities Agent State Law Examination
    1992-10-02
Other Names
  • Robert N Yan

View on SEC IAPD

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