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Michael Cooper

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Monica, 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
TX RA APPROVED_RES 2012-11-19
CA RA APPROVED 2009-10-23
VA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-11-19
  • CA RA
    APPROVED
    Since 2009-10-23
  • VA RA
    APPROVED
    Since 2009-10-23

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • 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 Los Angeles CA 10/2009 Present
Bank Of America, N.A. Los Angeles CA 11/2009 Present
Previous Registrations
  • 1998-05-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-19
S63 Uniform Securities Agent State Law Examination 1994-06-03
  • S65 Uniform Investment Adviser Law Examination
    1997-09-19
  • S63 Uniform Securities Agent State Law Examination
    1994-06-03

View on SEC IAPD

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