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Kenneth B Seale

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palo Alto, 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
TX RA APPROVED 2009-07-17
  • TX RA
    APPROVED
    Since 2009-07-17

Branch Locations

3075A Hansen Way, Palo Alto, CA 94304 • 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 San Jose CA 10/1999 Present
Merrill Lynch Menlo Park CA 06/2008 Present
  • 10/1999 → Present
    Merrill Lynch
    San Jose, CA
  • 06/2008 → Present
    Merrill Lynch
    Menlo Park, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-01
S63 Uniform Securities Agent State Law Examination 2000-01-13
  • S65 Uniform Investment Adviser Law Examination
    2006-12-01
  • S63 Uniform Securities Agent State Law Examination
    2000-01-13
Other Names
  • Brian Seale
  • Kenneth Brian Seale

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · Palo Alto, CA
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