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Marc Griffis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT

Ontario, 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
CA RA APPROVED 2019-06-19
TX RA APPROVED 2019-06-19
  • CA RA
    APPROVED
    Since 2019-06-19
  • TX RA
    APPROVED
    Since 2019-06-19

Branch Locations

301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • United States

901 Via Piemonte, Ontario, CA 91764 • 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 Riverside CA 01/2001 05/2019
Bofa Securities, Inc. Riverside CA 05/2019 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Riverside CA 06/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-07
  • S66 Uniform Combined State Law Examination
    2015-08-07
Other Names
  • Marc Griffis
  • Marcus Gene Griffis

View on SEC IAPD

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