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Raul Morales

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Franklin Park, 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
TX RA APPROVED 2022-12-01
IL RA APPROVED 2022-10-04
  • TX RA
    APPROVED
    Since 2022-12-01
  • IL RA
    APPROVED
    Since 2022-10-04

Branch Locations

10101 W Grand Ave, Franklin Park, IL 60423 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Franklin Park IL 05/2020 Present
Bank Of America N.A. Franklin Park IL 05/2020 Present
Jp Morgan Chase Elgin IL 02/2019 02/2020
Jp Morgan Chase Algonquin IL 05/2017 02/2019
Boost Mobile Elgin IL 07/2016 05/2017
  • 05/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Franklin Park, IL
  • 05/2020 → Present
    Bank Of America N.A.
    Franklin Park, IL
  • 02/2019 → 02/2020
    Jp Morgan Chase
    Elgin, IL
  • 05/2017 → 02/2019
    Jp Morgan Chase
    Algonquin, IL
  • 07/2016 → 05/2017
    Boost Mobile
    Elgin, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-12
  • S66 Uniform Combined State Law Examination
    2022-09-12

View on SEC IAPD

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