Monica M Piepenkotter

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-11-05
CA	RA	APPROVED	2005-07-28

TX RA
APPROVED_RES

Since 2019-11-05
CA RA
APPROVED

Since 2005-07-28

Branch Locations

7825 Fay Ave Pbig - La Jolla, La Jolla, CA 92037 • United States

Coronado, CA • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Diego	CA	02/2000	Present
Bank Of America, N.A.	La Jolla	CA	06/2011	Present

02/2000 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA
06/2011 → Present

Bank Of America, N.A.

La Jolla, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-05-16
S63	Uniform Securities Agent State Law Examination	1998-01-26

S65 Uniform Investment Adviser Law Examination

2000-05-16
S63 Uniform Securities Agent State Law Examination

1998-01-26

Other Names

Monica M Hauck
Monica Marie Hauck
Monica Marie Piepenkotter

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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