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Alan Richard Mariconda

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Irvine, CA

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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 2004-06-07
TX RA APPROVED_RES 1994-03-11
  • CA RA
    APPROVED
    Since 2004-06-07
  • TX RA
    APPROVED_RES
    Since 1994-03-11

Branch Locations

100 Spectrum Center Dr, Irvine, CA 92618 • 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 Irvine CA 09/1986 Present
Bank Of America, N.A. Irvine CA 08/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-19
S63 Uniform Securities Agent State Law Examination 1986-12-16
  • S65 Uniform Investment Adviser Law Examination
    1996-01-19
  • S63 Uniform Securities Agent State Law Examination
    1986-12-16

View on SEC IAPD

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