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Richard Harris Einziger

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pleasanton, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-05-21
  • CA RA
    APPROVED
    Since 2012-05-21

Branch Locations

4900 Hopyard Rd, Pleasanton, CA 94588 • 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 Pleasanton CA 05/2012 Present
Bank Of America N.A Pleasanton CA 06/2012 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-23
S63 Uniform Securities Agent State Law Examination 1982-02-01
  • S65 Uniform Investment Adviser Law Examination
    1992-04-23
  • S63 Uniform Securities Agent State Law Examination
    1982-02-01

View on SEC IAPD

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