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Richard Mark Scafa

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA

Henderson, NV

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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 2016-07-12
NV RA APPROVED 2015-11-12
  • TX RA
    APPROVED
    Since 2016-07-12
  • NV RA
    APPROVED
    Since 2015-11-12

Branch Locations

2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States

450 N Stephanie St, Henderson, NV 89014 • 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 Las Vegas NV 10/2015 Present
Bank Of America, N.A. Las Vegas NV 12/2015 Present
Previous Registrations
  • 2010-10-26 → 2011-10-03
    Wells Fargo Clearing Services, Llc
    San Diego, CA
    New York, NY
    Riverside, CA
    San Diego, CA
    Rancho Santa Fe, CA
    San Diego, CA
    New York, NY
    Sacramento, CA
    Roseville, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-05
S63 Uniform Securities Agent State Law Examination 1986-02-13
  • S66 Uniform Combined State Law Examination
    2015-11-05
  • S63 Uniform Securities Agent State Law Examination
    1986-02-13

View on SEC IAPD

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GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
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