Best Investors Account Sign in

Bruce Daniel Huggins

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Smithtown, NY

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-12-03
TX RA APPROVED_RES 2021-09-16
  • NY RA
    APPROVED
    Since 2021-12-03
  • TX RA
    APPROVED_RES
    Since 2021-09-16

Branch Locations

50 Route 111, Smithtown, NY 11787 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Commack NY 08/2012 07/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Smithtown NY 07/2021 Present
Bank Of America, N.A. Smithtown NY 09/2021 Present
Previous Registrations
  • 2012-09-24 → 2021-08-16
    Citigroup Global Markets Inc.
    Commack, NY
    Long Island City, NY
    Westlake Village, CA
    Bay Shore, NY
    Boca Raton, FL
    Jacksonville, FL
    Holbrook, NY
    Port Jefferson, NY
  • 2006-07-12 → 2012-09-28
    Hsbc Securities (Usa) Inc.
    West Babylon, NY
    Melville, NY
    Bohemia, NY
    Hampton Bays, NY
    Southampton, NY
    Hampton Bays, NY
    Hauppauge, NY
    Hampton Bays, NY
    Southampton, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-29
S65 Uniform Investment Adviser Law Examination 1999-06-21
S63 Uniform Securities Agent State Law Examination 1986-02-04
  • S66 Uniform Combined State Law Examination
    2021-11-29
  • S65 Uniform Investment Adviser Law Examination
    1999-06-21
  • S63 Uniform Securities Agent State Law Examination
    1986-02-04

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
CETERA INVESTMENT ADVISERS LLC
EDWARD JONES
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
COMMONWEALTH FINANCIAL NETWORK
OSAIC WEALTH, INC.
OSAIC INSTITUTIONS, INC.

Other Investors

JAMES VERDI
NICHOLAS KLOPSIS
Matthew Kyle Heeter
LOUIS ANTHONY SORIANO
Frank E Carpentiere
JOSEPH BONURA
JOHN CLEAVELAND PALMER
LYNNE MICHELE BARNHARDT

Other Offices

LPL FINANCIAL LLC · SMITHTOWN, NY
CETERA INVESTMENT ADVISERS LLC · SMITHTOWN, NY
EDWARD JONES · SMITHTOWN, NY
LPL FINANCIAL LLC · SMITHTOWN, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Smithtown, NY
COMMONWEALTH FINANCIAL NETWORK · Smithtown, NY

More in Smithtown, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor