Priscilla Meadow
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.
Priscilla Meadow, who also goes by Priscilla Joseph, Priscilla J Meadow, Priscilla Joseph Meadow, was a registered financial professional .
Priscilla is a previously registered financial professional and started their career in finance in 2004. Priscilla had worked at 11 firms and has passed the Series 63, Series 66, SIE 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
July 5, 2024 - February 18, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2024 - February 18, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2022 - February 4, 2022
UBS FINANCIAL SERVICES INC.
January 10, 2022 - February 4, 2022
UBS FINANCIAL SERVICES INC.
November 2, 2020 - March 29, 2021
JEFFERIES LLC
October 4, 2019 - November 2, 2020
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
October 4, 2019 - November 2, 2020
FIRST REPUBLIC SECURITIES COMPANY, LLC
August 15, 2018 - October 7, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2017 - October 7, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2016 - February 22, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2016 - February 22, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 8, 2013 - November 25, 2014
MORGAN STANLEY
August 1, 2011 - November 22, 2011
J.P. MORGAN SECURITIES LLC
April 15, 2010 - October 25, 2010
FINTEGRA, LLC
May 3, 2005 - January 19, 2007
CREDIT SUISSE SECURITIES (USA) LLC
October 28, 2004 - April 11, 2005
MORGAN STANLEY DW 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
Current 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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
