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Dan Dean Kauffman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Peoria, AZ

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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 2025-09-08
TX RA APPROVED_RES 2009-06-02
  • CA RA
    APPROVED
    Since 2025-09-08
  • TX RA
    APPROVED_RES
    Since 2009-06-02

Branch Locations

14100 N 83Rd Ave, Peoria, AZ 85381 • 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 Inc Sun City West AZ 01/2001 Present
  • 01/2001 → Present
    Merrill Lynch,Pierce,Fenner&Smith Inc
    Sun City West, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-30
S63 Uniform Securities Agent State Law Examination 1999-07-17
  • S65 Uniform Investment Adviser Law Examination
    2001-11-30
  • S63 Uniform Securities Agent State Law Examination
    1999-07-17

View on SEC IAPD

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