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Judi Marie Aber

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Punta Gorda, FL

Punta Gorda, FL

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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 2012-06-15
FL RA APPROVED 2009-10-23
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • FL RA
    APPROVED
    Since 2009-10-23
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

Punta Gorda, FL • United States

1190 W Marion Ave, Punta Gorda, FL 33950 • 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
Bank Of America, N.A. Punta Gorda FL 10/1993 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Punta Gorda FL 10/2009 Present
Previous Registrations
  • 1998-04-01 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Punta Gorda, FL
    Punta Gorda, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-21
S63 Uniform Securities Agent State Law Examination 1996-11-21
  • S65 Uniform Investment Adviser Law Examination
    1999-07-21
  • S63 Uniform Securities Agent State Law Examination
    1996-11-21
Other Names
  • Judi Marie Aber

View on SEC IAPD

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