Merrill J. Sauriol
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.
Merrill Joseph Sauriol was a registered financial advisor .
Merrill is a previously registered financial advisor and started their career in finance in 1964. Merrill had worked at 6 firms and has passed the Series 63, Series 3, Series 1, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 1991 - April 11, 2012
ARMA FINANCIAL SERVICES, INC.
September 24, 1986 - June 12, 2014
ARMA FINANCIAL SERVICES, INC.
June 22, 1984 - October 24, 1986
KIDDER, PEABODY & CO. INCORPORATED
December 4, 1979 - July 10, 1984
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - December 23, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 21, 1964 - July 29, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 1
Date: 7/14/1964
Registered Representative ExaminationSeries 12
Date: 1/7/1980
NYSE Branch Manager ExaminationCurrent Firm
ARMA FINANCIAL SERVICES, INC.
CRD#: 18033 / SEC#: 801-29011, 8-36086
Contact information
Disclosures
| Arbitration | 1 |
Red Flags
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