Daniel Paul Fountain

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2009-10-23

FL RA
APPROVED

Since 2009-10-23

Branch Locations

132 Royal Palm Way, Palm Beach, FL 33480 • United States

22 Bull St, Savannah, GA 31401 • 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
Bank Of America, N.A.	Palm Beach	FL	10/2003	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Palm Beach	FL	10/2009	Present

10/2003 → Present

Bank Of America, N.A.

Palm Beach, FL
10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palm Beach, FL

Previous Registrations

2003-10-21 → 2009-10-23

Banc Of America Investment Services, Inc.

Palm Beach, FL

Palm Beach, FL

Palm Beach, FL
1997-08-29 → 2003-12-18

American Financial Advisors Inc

Orlando, FL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2003-06-10
S65	Uniform Investment Adviser Law Examination	1997-09-11

S63 Uniform Securities Agent State Law Examination

2003-06-10
S65 Uniform Investment Adviser Law Examination

1997-09-11

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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