Sergio Xavier Galindo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

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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	2022-02-09
MD	RA	APPROVED	1997-04-30

TX RA
APPROVED_RES

Since 2022-02-09
MD RA
APPROVED

Since 1997-04-30

Branch Locations

11333 Mccormick Rd, Hunt Valley, MD 21031 • 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	Towson	MD	05/1995	Present
Bank Of America,N.A.	Towson	MD	11/2009	Present

05/1995 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Towson, MD
11/2009 → Present

Bank Of America,N.A.

Towson, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-28
S63	Uniform Securities Agent State Law Examination	1996-06-07

S65 Uniform Investment Adviser Law Examination

1996-06-28
S63 Uniform Securities Agent State Law Examination

1996-06-07

Other Names

Sergio X Galindo

View on SEC IAPD

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