Denise M Rodriguez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Claim This Profile

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	2013-03-22
MD	RA	APPROVED	2012-11-02

TX RA
APPROVED_RES

Since 2013-03-22
MD RA
APPROVED

Since 2012-11-02

Branch Locations

901 Dulaney Valley Rd, Towson, MD 21204 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Baltimore	MD	10/2012	Present
Bank Of America, N.A.	Towson	MD	02/2023	Present

10/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baltimore, MD
02/2023 → Present

Bank Of America, N.A.

Towson, MD

Previous Registrations

2009-06-01 → 2012-11-05

Morgan Stanley

Baltimore, MD

Hunt Valley, MD
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Baltimore, MD
2006-02-27 → 2007-04-02

Morgan Stanley Dw Inc.

Baltimore, MD
2005-12-08 → 2006-02-21

Deutsche Bank Securities Inc.

Baltimore, MD
1999-10-27 → 2005-12-05

Morgan Stanley Dw Inc.

Hunt Valley, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-05-19
S63	Uniform Securities Agent State Law Examination	1998-03-18

S65 Uniform Investment Adviser Law Examination

1999-05-19
S63 Uniform Securities Agent State Law Examination

1998-03-18

Other Names

Denise Michelle Truett
Denise Michelle Truett
Denise Michelle Truett
Denise Michelle Rodriguez

View on SEC IAPD

Other Firms

SFG WEALTH MANAGEMENT

LPL FINANCIAL LLC

BASE MANAGEMENT CO

CAPITAL ADVISOR MANAGEMENT

FINANCIAL COUNCIL, LLC

SCHIFF WEALTH ADVISORS, LLC

DYER FINANCIAL ADVISORY

LEGACY FINANCIAL ADVISORS

Other Investors

TIMOTHY WILLIAM CARNE

WILLIAM JUDSON SOKOL

MICHAEL LOYD CRABB

WILLIAM ROBERT SWARTZ

ERIC WILLIAM HART

GEORGE RAY VAN DYKE

GREGORY CHARLES VERMEULEN

LAWRENCE NELSON LEITCH

Other Offices

SFG WEALTH MANAGEMENT · TOWSON, MD

LPL FINANCIAL LLC · TOWSON, MD

SFG WEALTH MANAGEMENT · Towson, MD

LPL FINANCIAL LLC · TOWSON, MD

BASE MANAGEMENT CO · TOWSON, MD

LPL FINANCIAL LLC · TOWSON, MD

CAPITAL ADVISOR MANAGEMENT · TOWSON, MD

FINANCIAL COUNCIL, LLC · TOWSON, MD

More in Towson, MD

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor