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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 2009-09-10
FL RA APPROVED 2006-03-13
  • TX RA
    APPROVED_RES
    Since 2009-09-10
  • FL RA
    APPROVED
    Since 2006-03-13

Branch Locations

101 E Kennedy Blvd Pbig - Florida Pwm Tampa, Tampa, FL 33602 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 02/2006 Present
Previous Registrations
  • 2005-07-28 → 2006-02-23
    A. G. Edwards & Sons, Inc.
    Clearwater, FL
Other Businesses

I*4881274 Entity Type: For Profit, Publicly Traded Name of OBA: Viavi - Populus Address: Chandler, Arizona, 85286 Investment Related: No Position, Title, Association: Employee Employee Start Date: 07/10/2026 Number of Hours: 5, Weekly Number of Hours during trading: 0 Duties: Temporary work until husbands business is completely transferred to purchasing company Bookkeeping for husbands business - Direct Optical Research Company

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-26
S63 Uniform Securities Agent State Law Examination 1997-08-30
  • S66 Uniform Combined State Law Examination
    2005-07-26
  • S63 Uniform Securities Agent State Law Examination
    1997-08-30
Other Names
  • Mary Ann Stults
  • Mary Ann Clabaugh

View on SEC IAPD

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