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Diane C Johnson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frontenac, MO

Clayton, MO

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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 2008-11-17
MO RA APPROVED 2007-08-07
  • TX RA
    APPROVED
    Since 2008-11-17
  • MO RA
    APPROVED
    Since 2007-08-07

Branch Locations

1630 S Lindbergh Blvd, Frontenac, MO 63131 • United States

7676 Forsyth Blvd, Clayton, MO 63105 • 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 St Louis MO 04/1985 Present
Bank Of America,N.A. Ladue MO 06/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-03
S63 Uniform Securities Agent State Law Examination 1985-05-21
  • S66 Uniform Combined State Law Examination
    2007-08-03
  • S63 Uniform Securities Agent State Law Examination
    1985-05-21
Other Names
  • Diane Carol Ludwig
  • Diane Carol Dunlap
  • Diane Carol Johnson

View on SEC IAPD

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