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Richard William Post

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Wells, 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
CA RA APPROVED 2009-07-23
TX RA APPROVED_RES 2009-07-17
  • CA RA
    APPROVED
    Since 2009-07-23
  • TX RA
    APPROVED_RES
    Since 2009-07-17

Branch Locations

74800 Us Highway 111, Indian Wells, CA 92210 • 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, Pierce, Fenner & Smith Incorporated (7691) Ontario CA 07/2009 Present
Bank Of America, N.A. Indian Wells CA 09/2009 Present
  • 07/2009 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Ontario, CA
  • 09/2009 → Present
    Bank Of America, N.A.
    Indian Wells, CA
Previous Registrations
  • 2008-01-01 → 2009-07-20
    Wells Fargo Clearing Services, Llc
    Palm Desert, CA
  • 1997-07-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Palm Desert, CA
    Palm Desert, CA
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-06-28
  • S63 Uniform Securities Agent State Law Examination
    1994-06-28
Other Names
  • Rick Post

View on SEC IAPD

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