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Gary Allen Seitz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Springfield, 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_RES 2024-09-23
IL RA APPROVED 2009-10-26
  • TX RA
    APPROVED_RES
    Since 2024-09-23
  • IL RA
    APPROVED
    Since 2009-10-26

Branch Locations

3161 W White Oaks Dr, Springfield, IL 62704 • United States

Disclosures

2 disclosure categories 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 Yes
  • 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 Springfield IL 10/2009 Present
Bank Of America, N.A. Springfield IL 12/2009 Present
Previous Registrations
  • 2009-06-01 → 2009-10-26
    Morgan Stanley
    Springfield, IL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
    Springfield, IL
  • 2000-04-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Springfield, IL
    Springfield, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-16
S63 Uniform Securities Agent State Law Examination 1981-12-29
  • S65 Uniform Investment Adviser Law Examination
    2000-03-16
  • S63 Uniform Securities Agent State Law Examination
    1981-12-29

View on SEC IAPD

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