Erle F. Merrill
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.
Erle Forrest Merrill, who also goes by Merrill Forrest, Eric Forrest Merrill, Forrest Erle Merrill, Forrest Merrill, was a registered financial professional .
Erle is a previously registered financial professional and started their career in finance in 1988. Erle had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
January 2, 2015 - August 11, 2016
SCOTTRADE, INC.
April 3, 2013 - December 11, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 1, 2009 - March 15, 2013
CETERA WEALTH SERVICES, LLC
November 17, 2009 - March 15, 2013
CETERA WEALTH SERVICES, LLC
November 29, 2004 - November 3, 2009
FIRST INDEPENDENT ADVISORY SERVICES, INC.
March 1, 2004 - November 3, 2009
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
October 11, 2000 - March 29, 2004
CETERA ADVISORS LLC
April 1, 1999 - August 29, 2000
INVESTMENT PROFESSIONALS, INC.
July 3, 1997 - April 14, 1999
INVEST FINANCIAL CORPORATION
June 22, 1988 - June 16, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
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
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