Roy Alexander Cook

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-07-12
FL	RA	APPROVED	2009-10-23

TX RA
APPROVED_RES

Since 2012-07-12
FL RA
APPROVED

Since 2009-10-23

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • United States

Lake Worth, FL • 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	Palm Beach Gardens	FL	10/2009	Present
Bank Of America,Na	Boca Raton	FL	12/2009	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palm Beach Gardens, FL
12/2009 → Present

Bank Of America,Na

Boca Raton, FL

Previous Registrations

1998-04-01 → 2009-10-23

Banc Of America Investment Services, Inc.

West Palm Beach, FL

West Palm Beach, FL

Palm Beach Gardens, FL

Jupiter, FL

Palm Beach Gardens, FL

Other Businesses

I*1895331, Entity Type, Entity for Profit, Name of OBA: Century Roofing, Address: Davie, FL, 33314, Investment Related: No, Position, Title, Association: Employee Start Date: No Date, No Hours: 0, No Hours during trading: 0, Duties: Sort term loan to my sister to cover expenditures until money is recovered from receivables. No responsibilities.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-27
S63	Uniform Securities Agent State Law Examination	1996-02-26

S65 Uniform Investment Adviser Law Examination

2001-06-27
S63 Uniform Securities Agent State Law Examination

1996-02-26

Other Names

Roy Cook

View on SEC IAPD