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Sandra Patton Rudolf

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hickory, NC

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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_RES 2013-03-22
NC RA APPROVED 2002-07-12
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • NC RA
    APPROVED
    Since 2002-07-12

Branch Locations

205 2Nd St Nw, Hickory, NC 28601 • 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 Greensboro NC 11/1996 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-09
S63 Uniform Securities Agent State Law Examination 1998-02-02
  • S65 Uniform Investment Adviser Law Examination
    2002-07-09
  • S63 Uniform Securities Agent State Law Examination
    1998-02-02
Other Names
  • Sandra Kate Patton
  • Sandra Patton Rudolph

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · HICKORY, NC
ALPHASTAR CAPITAL MANAGEMENT · Hickory, NC
SOLLINDA CAPITAL MANAGEMENT LLC · Hickory, NC
CETERA INVESTMENT ADVISERS LLC · HICKORY, NC
ALPHASTAR CAPITAL MANAGEMENT · Hickory, NC
RBC CAPITAL MARKETS, LLC · HICKORY, NC
BENJAMIN F. EDWARDS & COMPANY, INC. · Hickory, NC
TRUIST ADVISORY SERVICES, INC. · HICKORY, NC

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