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Robert Ernst

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Frisco, TX

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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 2009-10-23
  • TX RA
    APPROVED
    Since 2009-10-23

Branch Locations

5500 Preston Rd, Dallas, TX 75205 • United States

1 Cowboys Way, Frisco, TX 75034 • 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
Bank Of America, N.A. Dallas TX 05/2002 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas TX 10/2009 Present
Previous Registrations
  • 2002-12-03 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Dallas, TX
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-17
S63 Uniform Securities Agent State Law Examination 2002-08-16
  • S66 Uniform Combined State Law Examination
    2002-12-17
  • S63 Uniform Securities Agent State Law Examination
    2002-08-16
Other Names
  • Rob Ernst
  • Robert Anthony Ernst
  • Rob Ernst

View on SEC IAPD

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