Floyd D. Jordan
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.
Floyd Devoe Jordan, who also goes by Bud Jordan, was a registered financial professional .
Floyd is a previously registered financial professional and started their career in finance in 1970. Floyd had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2009 - January 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2009 - January 7, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2006 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
September 16, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 7, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
February 15, 1988 - March 4, 1988
LEHMAN BROTHERS INC.
February 12, 1988 - September 8, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 19, 1973 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 2, 1973 - November 16, 1973
DUPONT WALSTON, INCORPORATED
July 24, 1970 - July 2, 1973
DUPONT GLORE FORGAN 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 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 1
Date: 4/3/1969
Registered Representative ExaminationSeries 12
Date: 10/27/1978
NYSE Branch Manager ExaminationSeries 40
Date: 4/26/1976
Registered Principal 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.
