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Stanley W Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Orlando, FL

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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 2008-06-09
TX RA APPROVED_RES 2008-06-06
  • FL RA
    APPROVED
    Since 2008-06-09
  • TX RA
    APPROVED_RES
    Since 2008-06-06

Branch Locations

4705 S Apopka Vineland Rd, Orlando, FL 32819 • 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 Orlando FL 06/2008 Present
Bank Of America,N.A. Orlando FL 06/2011 Present
Previous Registrations
  • 2003-09-12 → 2008-06-26
    Citigroup Global Markets Inc.
    Orlando, FL
    Orlando, FL
    Orlando, FL
    Orlando, FL
  • 2001-01-04 → 2003-09-15
    Legg Mason Wood Walker, Incorporated
    Orlando, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-29
S63 Uniform Securities Agent State Law Examination 1985-07-24
  • S66 Uniform Combined State Law Examination
    2000-12-29
  • S63 Uniform Securities Agent State Law Examination
    1985-07-24
Other Names
  • Stanley Wayne Smith

View on SEC IAPD

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