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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2017-07-24
TX RA APPROVED_RES 2017-07-18
OK RA APPROVED 2017-07-13
  • AR RA
    APPROVED
    Since 2017-07-24
  • TX RA
    APPROVED_RES
    Since 2017-07-18
  • OK RA
    APPROVED
    Since 2017-07-13

Branch Locations

3220 Old Greenwood Rd, Fort Smith, AR 72903 • United States

Tuttle, OK • United States

4811 Gaillardia Pkwy, Oklahoma City, OK 73142 • 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
Morgan Stanley Smith Barney Oklahoma City OK 06/2009 06/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tulsa OK 06/2017 Present
Previous Registrations
  • 2009-06-01 → 2017-06-28
    Oklahoma City, OK
    Norman, OK
    Oklahoma City, OK
    Norman, OK
    Oklahoma City, OK
    Norman, OK
    Oklahoma City, OK
    Tulsa, OK
  • 2007-07-20 → 2009-06-01
    Norman, OK
    Oklahoma City, OK
  • 2007-03-29 → 2007-07-24
    Geary Securities, Inc.
    Keller, TX
    New Braunfels, TX
    Ponca City, OK
    Arcadia, OK
    Broken Arrow, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Oklahoma City, OK
    New Braunfels, TX
    Keller, TX
    Ponca City, OK
    Oklahoma City, OK
    Okatie, SC
    Arcadia, OK
    Broken Arrow, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Pauls Valley, OK
    Lawton, OK
    Tulsa, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Edmond, OK
    Broken Arrow, OK
    Hobart, OK
Other Businesses

I*107077 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CONTINENTAL RESOURCES INVESTMENT RELATED: N ADDRESS OF BUSINESS: OKLAHOMA CITY, OKLAHOMA 73102 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: RECIPIENT OF OIL ROYALTIES START DATE OF RELATIONSHIP: 02/01/2015 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I RECEIVE OIL ROYALTIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-26
S63 Uniform Securities Agent State Law Examination 1986-02-14
  • S66 Uniform Combined State Law Examination
    2007-03-26
  • S63 Uniform Securities Agent State Law Examination
    1986-02-14
Other Names
  • Vicki Lyn Dixon
  • Vicki Lyn Deaton
  • Vicki Lyn Arnold
  • Vicki Arnold

View on SEC IAPD

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