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Ann Stone Hattis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albuquerque, NM

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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 2008-04-29
NM RA APPROVED 2008-04-28
  • TX RA
    APPROVED_RES
    Since 2008-04-29
  • NM RA
    APPROVED
    Since 2008-04-28

Branch Locations

2125 Louisiana Blvd, Albuquerque, NM 87110 • 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 : 7691 Santa Fe NM 04/2008 Present
Bank Of America, N.A. Albuquerque NM 04/2011 Present
  • 04/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Santa Fe, NM
  • 04/2011 → Present
    Bank Of America, N.A.
    Albuquerque, NM
Previous Registrations
  • 2002-12-11 → 2008-05-01
    Banc Of America Investment Services, Inc.
    Santa Fe, NM
    Santa Fe, NM
    Santa Fe, NM
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-19
S63 Uniform Securities Agent State Law Examination 1983-03-14
  • S65 Uniform Investment Adviser Law Examination
    1996-09-19
  • S63 Uniform Securities Agent State Law Examination
    1983-03-14
Other Names
  • Ann Stone Hattis
  • Ann Stone Pollock

View on SEC IAPD

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Other Offices

AAN WEALTH ADVISORS LLC · Albuquerque, NM
DXD CAPITAL · ALBUQUERQUE, NM
ALLWORTH FINANCIAL, L.P. · ALBUQUERQUE, NM
EDWARD JONES · ALBUQUERQUE, NM
ZANETTI FINANCIAL, LLC · ALBUQUERQUE, NM
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · ALBUQUERQUE, NM
AMERIPRISE FINANCIAL SERVICES, LLC · ALBUQUERQUE, NM
LPL FINANCIAL LLC · ALBUQUERQUE, NM

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