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Scott Davis Paul

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seal Beach, 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_RES 1999-01-07
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1999-01-07
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

3010 Old Ranch Pkwy, Seal Beach, CA 90740 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seal Beach CA 10/1995 Present
Bank Of America,N.A. Seal Beach CA 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-07
S63 Uniform Securities Agent State Law Examination 1996-01-25
  • S65 Uniform Investment Adviser Law Examination
    1996-02-07
  • S63 Uniform Securities Agent State Law Examination
    1996-01-25
Other Names
  • Scott D Paul

View on SEC IAPD

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