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Larry J Niven

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Savannah, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2004-04-08
TX RA APPROVED_RES 1994-01-06
  • GA RA
    APPROVED
    Since 2004-04-08
  • TX RA
    APPROVED_RES
    Since 1994-01-06

Branch Locations

3 Skidaway Village Sq, Savannah, GA 31411 • 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
Bank Of America,N.A. Savannah GA 06/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Savannah GA 02/1980 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-05
S63 Uniform Securities Agent State Law Examination 1980-05-29
  • S65 Uniform Investment Adviser Law Examination
    1994-12-05
  • S63 Uniform Securities Agent State Law Examination
    1980-05-29
Other Names
  • Larry Ronald Niven

View on SEC IAPD

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LPL FINANCIAL LLC · SAVANNAH, GA
VALIC FINANCIAL ADVISORS, INC. · SAVANNAH, GA
COMMONWEALTH FINANCIAL NETWORK · Savannah, GA
PFS INVESTMENTS INC. · SAVANNAH, GA
CHARLES SCHWAB & CO., INC. · Savannah, GA
RL WRIGHT & ASSOCIATES, LLC · SAVANNAH, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Savannah, GA
BULL STREET ADVISORS · SAVANNAH, GA

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