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Elizabeth Mauk Harris

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stuart, FL

Montgomery, AL

Huntsville, AL

Wetumpka, AL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2014-12-15
TX RA APPROVED_RES 2010-04-30
AL RA APPROVED 2007-11-13
  • FL RA
    APPROVED
    Since 2014-12-15
  • TX RA
    APPROVED_RES
    Since 2010-04-30
  • AL RA
    APPROVED
    Since 2007-11-13

Branch Locations

2301 Se Monterey Rd, Stuart, FL 34996 • United States

4001 Carmichael Rd, Montgomery, AL 36106 • United States

4725 Whitesburg Dr Se, Huntsville, AL 35802 • United States

Wetumpka, AL • 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 Montgomery AL 08/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-04
S63 Uniform Securities Agent State Law Examination 1984-01-26
  • S65 Uniform Investment Adviser Law Examination
    1995-10-04
  • S63 Uniform Securities Agent State Law Examination
    1984-01-26
Other Names
  • Elizabeth Mauk
  • Elizabeth Robert Mauk
  • Elizabeth Harris

View on SEC IAPD

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