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ALFONSO TAPIA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 15919 PARAMOUNT BLVD, PARAMOUNT, CA, 90723.
ALFONSO TAPIA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 16, 2017
ALFONSO TAPIA has 1 Disclosure Event(s).
Date: November 12, 2012All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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