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Lionel Mortimer Ives

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Bethesda, MD

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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 2000-03-16
MD RA APPROVED 1990-11-14
  • TX RA
    APPROVED
    Since 2000-03-16
  • MD RA
    APPROVED
    Since 1990-11-14

Branch Locations

11810 Grand Park Ave, North Bethesda, MD 20852 • 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 North Bethesda MD 06/1983 Present
Bank Of America, N.A. North Bethesda MD 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-13
S63 Uniform Securities Agent State Law Examination 1984-02-03
  • S65 Uniform Investment Adviser Law Examination
    1995-10-13
  • S63 Uniform Securities Agent State Law Examination
    1984-02-03

View on SEC IAPD

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