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John A Frost

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oklahoma City, OK

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 1989-10-19
TX RA APPROVED_RES 1983-08-23
  • OK RA
    APPROVED
    Since 1989-10-19
  • TX RA
    APPROVED_RES
    Since 1983-08-23

Branch Locations

4811 Gaillardia Pkwy, Oklahoma City, OK 73142 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oklahoma City OK 02/1979 Present
Bank Of America, N.A. Oklahoma City OK 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-20
S66 Uniform Combined State Law Examination 2002-03-29
S63 Uniform Securities Agent State Law Examination 1979-12-27
  • S65 Uniform Investment Adviser Law Examination
    2002-11-20
  • S66 Uniform Combined State Law Examination
    2002-03-29
  • S63 Uniform Securities Agent State Law Examination
    1979-12-27
Other Names
  • Big John Frost
  • John Alphonsis Frost

View on SEC IAPD

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