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Richard Arismendy Fabian

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Southbury, CT

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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 2023-12-15
CT RA APPROVED 2023-11-14
  • TX RA
    APPROVED_RES
    Since 2023-12-15
  • CT RA
    APPROVED
    Since 2023-11-14

Branch Locations

108 Main St N, Southbury, CT 06488 • 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
Wells Fargo Bank, Na Port Chester NY 09/2014 10/2023
Wells Fargo Advisors, Llc Port Chester NY 10/2014 11/2016
Wells Fargo Clearing Services, Llc Port Chester NY 11/2016 10/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Southbury CT 10/2023 Present
Bank Of America N.A. Southbury CT 11/2023 Present
Previous Registrations
  • 2020-08-20 → 2023-11-02
    Wells Fargo Clearing Services, Llc
    White Plains, NY
    Port Chester, NY
    Tarrytown, NY
    Purchase, NY
    Ridgefield, CT
    Tarrytown, NY
    Ridgefield, CT
    Ridgefield, CT
    Tarrytown, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-10
S63 Uniform Securities Agent State Law Examination 2014-05-16
  • S66 Uniform Combined State Law Examination
    2020-07-10
  • S63 Uniform Securities Agent State Law Examination
    2014-05-16
Other Names
  • Richard Fabian
  • Richard A Fabian
  • Richard Arismendy Fabian
  • Richard Fabian

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · SOUTHBURY, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Southbury, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHBURY, CT
LPL FINANCIAL LLC · SOUTHBURY, CT
WELLS FARGO CLEARING SERVICES, LLC · SOUTHBURY, CT
OSAIC INSTITUTIONS, INC. · SOUTHBURY, CT
KESTRA ADVISORY SERVICES, LLC · Southbury, CT
SANCTUARY ADVISORS, LLC · Southbury, CT

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