Elaine K. Story
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.
Elaine Kathryn Story, who also goes by Elaine Kathryn Reyna, Elaine Story Reyna, Elaine Reyna, Elaine Kathryn Story, Elaine Story, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1986. Elaine had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2019 - August 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2019 - August 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2004 - February 20, 2019
CHARLES SCHWAB & CO., INC.
October 11, 2004 - February 20, 2019
CHARLES SCHWAB & CO., INC.
September 24, 2003 - November 11, 2003
WELLS FARGO INVESTMENTS, LLC
September 24, 2003 - November 11, 2003
WELLS FARGO INVESTMENTS, LLC
October 18, 2002 - May 16, 2003
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - May 16, 2003
WELLS FARGO INVESTMENTS, LLC
October 2, 1995 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 21, 1995 - October 10, 1995
ESSEX NATIONAL SECURITIES, LLC
February 22, 1993 - June 9, 1994
SWBC INVESTMENT COMPANY
November 4, 1989 - January 29, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 20, 1988 - November 2, 1989
MARKETING ONE SECURITIES, INC.
January 7, 1988 - September 9, 1988
CONSOLIDATED INVESTMENT SERVICES, INC.
August 1, 1986 - November 27, 1987
FORESTERS FINANCIAL SERVICES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
