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Frank Hotze

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cincinnati, OH

Chicago, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2019-04-26
  • OH RA
    APPROVED
    Since 2019-04-26

Branch Locations

5905 E Galbraith Rd, Cincinnati, OH 45236 • United States

110 N Wacker Dr, Chicago, IL 60606 • 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
Pnc Investments Cincinnati OH 11/2013 04/2017
Pnc Investments Pittsburgh PA 07/2017 12/2018
Pnc Bank Cincinnati OH 07/2017 03/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cincinnati OH 04/2019 Present
Bank Of America, N.A Cincinnati OH 04/2019 Present
  • 11/2013 → 04/2017
    Pnc Investments
    Cincinnati, OH
  • 07/2017 → 12/2018
    Pnc Investments
    Pittsburgh, PA
  • 07/2017 → 03/2019
    Pnc Bank
    Cincinnati, OH
  • 04/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Cincinnati, OH
  • 04/2019 → Present
    Bank Of America, N.A
    Cincinnati, OH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-09
  • S66 Uniform Combined State Law Examination
    2013-09-09
Other Names
  • Frank N Hotze

View on SEC IAPD

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STIFEL, NICOLAUS & COMPANY, INCORPORATED

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JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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