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Shawn Nierman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ

Newport Beach, 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
TX RA APPROVED 2019-10-23
CA RA APPROVED 2019-09-06
  • TX RA
    APPROVED
    Since 2019-10-23
  • CA RA
    APPROVED
    Since 2019-09-06

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • United States

500 Newport Ctr Dr, Newport Beach, CA 92660 • 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 Scottsdale AZ 05/2019 Present
Unemployed Scottsdale AZ 10/2014 05/2019
Bank Of America, N.A. Scottsdale AZ 06/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-05
S65 Uniform Investment Adviser Law Examination 2007-08-21
S63 Uniform Securities Agent State Law Examination 2007-02-23
  • S66 Uniform Combined State Law Examination
    2019-09-05
  • S65 Uniform Investment Adviser Law Examination
    2007-08-21
  • S63 Uniform Securities Agent State Law Examination
    2007-02-23
Other Names
  • Shawn Reynolds
  • Shawn Marie Reynolds
  • Shawn Reynolds
  • Shawn Marie Reynolds
  • Shawn Marie Nierman

View on SEC IAPD

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