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Allison Marie Davies

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, NY

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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 2021-03-08
CT RA APPROVED 2021-03-04
NY RA APPROVED 2021-03-04
  • TX RA
    APPROVED
    Since 2021-03-08
  • CT RA
    APPROVED
    Since 2021-03-04
  • NY RA
    APPROVED
    Since 2021-03-04

Branch Locations

69 State St, Albany, NY 12207 • 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
Lpl Financial, Llc Albany NY 02/2017 02/2021
Capital Financial Planning Llc Albany NY 05/2019 07/2019
Murdock Abstract Corporation Schenectady NY 02/2016 10/2017
Holistic Wealth Advisors Clifton Park NY 07/2019 02/2021
Stratos Wealth Partners, Ltd Clifton Park NY 08/2019 02/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 02/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-17
  • S66 Uniform Combined State Law Examination
    2020-02-17

View on SEC IAPD

Other Firms

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CETERA INVESTMENT ADVISERS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MPWM ADVISORY SOLUTIONS LLC
CITIZENS SECURITIES, INC.
LPL FINANCIAL LLC
THE AFFINITY GROUP, LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

DANIEL DOUGLAS BAUER
BRETT PHILIP HARRIS
DOUGLAS JAMES BAUER
MICHAEL STEPHEN SHAPIRO
STEPHEN MARK PEER
RICHARD JEFFERY ANTHONY
GEORGE NICHOLAS BROWN
JOHN COLE BUFF

Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

More in Albany, NY

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