Nicholas Gus Anthony

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	2011-05-09
CA	RA	APPROVED	2011-05-02

TX RA
APPROVED_RES

Since 2011-05-09
CA RA
APPROVED

Since 2011-05-02

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • United States

Malibu, CA • 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	Santa Monica	CA	04/2010	Present
Bank Of America, N.A.	Santa Monica	CA	05/2011	Present

04/2010 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Monica, CA
05/2011 → Present

Bank Of America, N.A.

Santa Monica, CA

Previous Registrations

2001-06-18 → 2011-05-10

Deutsche Bank Securities Inc.

Los Angeles, CA

Los Angeles, CA

Los Angeles, CA

Other Businesses

I*73478 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NICHOLAS & SUZANNE ANTHONY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 2681 S PARKVIEW DRIVE, HALLANDALE BEACH, FLORIDA 33009 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/8/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SECOND HOME. ALSO USED AS RENTAL PROPERTY. VARIES BUT CURRENTLY 2,500/ MO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-09-24
S63	Uniform Securities Agent State Law Examination	1987-05-12

S65 Uniform Investment Adviser Law Examination

1992-09-24
S63 Uniform Securities Agent State Law Examination

1987-05-12

View on SEC IAPD