Ann Richardson

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	1999-07-26

AL RA
APPROVED

Since 1999-07-26

Branch Locations

3674 Dauphin St, Mobile, AL 36608 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Mobile	AL	02/1996	Present
Bank Of America, N.A.	Mobile	AL	05/2011	Present

02/1996 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mobile, AL
05/2011 → Present

Bank Of America, N.A.

Mobile, AL

Other Businesses

I*1702271 Entity Type: For Profit Name of OBA: ABA RENTALS LLC Address:DAUPHIN ISLAND, AL, 36528 Investment Related:No Position, Title, Association:Owner Employee Start Date:09/17/2024 No Hours: 1 Monthly No Hours during trading:0 Duties:RENT MY BEACH HOUSE FROM TIME TO TIME

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-03-26
S63	Uniform Securities Agent State Law Examination	1997-10-14

S65 Uniform Investment Adviser Law Examination

1999-03-26
S63 Uniform Securities Agent State Law Examination

1997-10-14

Other Names

Ann Richardson
Ann Marie Richardson

View on SEC IAPD