Merle A. Smith
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.
Merle Allen Smith was a registered financial professional .
Merle is a previously registered financial professional and started their career in finance in 1986. Merle had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2006 - October 3, 2013
SCOTTRADE, INC.
June 12, 2006 - October 18, 2006
THE HUNTINGTON INVESTMENT COMPANY
June 12, 2006 - October 18, 2006
THE HUNTINGTON INVESTMENT COMPANY
June 12, 2003 - December 9, 2005
MORGAN STANLEY DW INC.
June 11, 2003 - December 9, 2005
MORGAN STANLEY DW INC.
May 20, 2003 - July 2, 2003
OPPENHEIMER & CO. INC.
July 28, 1987 - December 11, 2002
MORGAN STANLEY DW INC.
February 6, 1987 - May 5, 1987
FIRST AFFILIATED SECURITIES, INC.
July 31, 1986 - February 13, 1987
MONEY CONCEPTS CAPITAL CORP
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
