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Ruchika Gupta

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

New York, 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
LA RA APPROVED 2015-10-23
TX RA APPROVED 2015-10-12
  • LA RA
    APPROVED
    Since 2015-10-23
  • TX RA
    APPROVED
    Since 2015-10-12

Branch Locations

13355 Noel Rd, Dallas, TX 75240 • United States

One Bryant Park, New York, NY 10036 • 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 Dallas TX 09/2015 Present
Previous Registrations
  • 2004-03-05 → 2015-10-08
    Ubs Financial Services Inc.
    Chicago, IL
    Chicago, IL
    Oakbrook Terrac, IL
    Weehawken, NJ
  • 2003-08-11 → 2004-01-02
    J. B. Hanauer & Co.
    Chicago, IL
  • 2003-07-01 → 2003-08-07
    Wells Fargo Clearing Services, Llc
    Oak Brook Terrace , IL
  • 2002-07-25 → 2003-07-01
    Prudential Equity Group, Llc
    Oak Brook Terrace, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-07
S63 Uniform Securities Agent State Law Examination 1999-03-31
  • S65 Uniform Investment Adviser Law Examination
    2000-07-07
  • S63 Uniform Securities Agent State Law Examination
    1999-03-31
Other Names
  • Gupta Ruchika

View on SEC IAPD

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