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Michael Charles Hempfling

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Woodlands, 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 2018-04-10
VA RA APPROVED 2003-07-23
MO RA APPROVED 2001-04-17
IN RA APPROVED 1998-12-15
  • TX RA
    APPROVED
    Since 2018-04-10
  • VA RA
    APPROVED
    Since 2003-07-23
  • MO RA
    APPROVED
    Since 2001-04-17
  • IN RA
    APPROVED
    Since 1998-12-15

Branch Locations

9595 Six Pines Dr, The Woodlands, TX 77380 • 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 Yes
  • 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 Kingwood TX 04/2000 Present
Bank Of America, N.A. Kingwood TX 02/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-14
S63 Uniform Securities Agent State Law Examination 1997-02-14
  • S65 Uniform Investment Adviser Law Examination
    2000-08-14
  • S63 Uniform Securities Agent State Law Examination
    1997-02-14
Other Names
  • Michael C Hempfling

View on SEC IAPD

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