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Bart Branum Ozbun

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cape Girardeau, MO

Marble Hill, 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
MO RA APPROVED 2002-01-24
TX RA APPROVED_RES 1999-09-09
  • MO RA
    APPROVED
    Since 2002-01-24
  • TX RA
    APPROVED_RES
    Since 1999-09-09

Branch Locations

1371 N Mt Auburn Rd, Cape Girardeau, MO 63701 • United States

Marble Hill, MO • 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 09/1995 Present
Bank Of America, Na Cape Girardeau MO 11/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-20
S63 Uniform Securities Agent State Law Examination 1985-06-20
  • S65 Uniform Investment Adviser Law Examination
    2001-12-20
  • S63 Uniform Securities Agent State Law Examination
    1985-06-20

View on SEC IAPD

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Other Offices

LPL ENTERPRISE, LLC · CAPE GIRARDEAU, MO
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CAPE GIRARDEAU, MO
CETERA INVESTMENT ADVISERS LLC · CAPE GIRARDEAU, MO
CETERA INVESTMENT ADVISERS LLC · CAPE GIRARDEAU, MO
MML INVESTORS SERVICES, LLC · Cape Girardeau, MO
EDWARD JONES · CAPE GIRARDEAU, MO
NBC SECURITIES, INC. · Cape Girardeau, MO
LPL FINANCIAL LLC · CAPE GIRARDEAU, MO

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