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Richard H Taubman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Prescott, 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 2023-01-16
TX RA APPROVED_RES 2008-12-19
IL RA APPROVED 2008-12-01
  • CA RA
    APPROVED
    Since 2023-01-16
  • TX RA
    APPROVED_RES
    Since 2008-12-19
  • IL RA
    APPROVED
    Since 2008-12-01

Branch Locations

1030 Willow Creek Rd, Prescott, AZ 86301 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook IL 11/2008 Present
Bank Of America, N.A. Northbrook IL 07/2011 Present
Previous Registrations
  • 2007-04-02 → 2008-12-02
    Morgan Stanley & Co. Llc
    Riverwoods, IL
  • 1998-05-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Riverwoods, IL
    Riverwoods, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-17
S63 Uniform Securities Agent State Law Examination 1989-07-10
  • S65 Uniform Investment Adviser Law Examination
    1998-04-17
  • S63 Uniform Securities Agent State Law Examination
    1989-07-10
Other Names
  • Richard Hathaway Taubman

View on SEC IAPD

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