Debra M. Cesaro-hayes
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.
Debra Marie Cesaro-hayes, who also goes by Debbie Cesaro, Debi Cesaro, Debra M Cesaro, Debra Marie Cesaro Ms, Debra Marie Cesaro, Debra Cesaro, Debra M Cesaro-hayes, Debi Pacitto, Debra M. Pacitto, Debra Marie Pacitto, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1994. Debra had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 9, Series 10, Series 4 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
April 9, 2008 - December 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2008 - December 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2007 - December 10, 2007
CRI SECURITIES, LLC
April 30, 2007 - December 10, 2007
SECURIAN FINANCIAL SERVICES, INC.
February 1, 2005 - March 28, 2007
ML PETRIE PARKMAN CO., INC.
December 16, 2002 - January 27, 2005
INVESTMENT CENTERS OF AMERICA, INC.
March 31, 1997 - December 5, 2002
KNIGHT CAPITAL MARKETS LLC
July 8, 1996 - March 13, 1997
A.B. WATLEY, INC.
September 30, 1994 - May 15, 1996
FISERV CORRESPONDENT SERVICES, INC.
September 15, 1994 - October 10, 1994
HANIFEN, IMHOFF 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 55
Date: 11/5/1999
Limited Representative-Equity Trader ExamCurrent 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.
