Best Investors Account Sign in

Cindy Ann Ough

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Woodlands, TX

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1997-01-29
  • TX RA
    APPROVED
    Since 1997-01-29

Branch Locations

9595 Six Pines Dr, The Woodlands, TX 77380 • 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 Houston TX 05/1993 Present
Bank Of America, N.A. Houston TX 04/2021 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-12-02
S63 Uniform Securities Agent State Law Examination 1997-01-27
  • S65 Uniform Investment Adviser Law Examination
    2002-12-02
  • S63 Uniform Securities Agent State Law Examination
    1997-01-27
Other Names
  • Cindy A Doering
  • Cindy Ann Doering

View on SEC IAPD

More in The Woodlands, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor