Sabrina R. Denmark
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sabrina Rowe Denmark, who also goes by Sabrina Ann Denmark, Sabrina Ann Rowe, was a registered financial professional .
Sabrina is a previously registered financial professional and started their career in finance in 1983. Sabrina had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2004 - January 2, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2004 - January 2, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2002 - June 3, 2004
INVEST FINANCIAL CORPORATION
October 23, 2002 - June 3, 2004
INVEST FINANCIAL CORPORATION
September 12, 2001 - September 6, 2002
A. G. EDWARDS & SONS, INC.
September 12, 2001 - September 6, 2002
A. G. EDWARDS & SONS, INC.
February 3, 1997 - September 14, 2001
WACHOVIA SECURITIES, INC.
October 2, 1996 - January 4, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 1988 - June 10, 1996
WACHOVIA SECURITIES, INC.
May 6, 1988 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
October 8, 1987 - June 3, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
June 17, 1987 - August 21, 1987
CITIGROUP GLOBAL MARKETS INC.
September 21, 1983 - July 1, 1986
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
