Andrew Stuart Blain

Andrew Stuart Blain is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 901 E BYRD ST, RICHMOND, VA, 23219.

Andrew Stuart Blain has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 19, 2017

Disclosure History

Andrew Stuart Blain has 1 Disclosure Event(s).

Date: January 22, 2010
Category: Criminal
Charges: False ID To Purchase Alcohol
Disposition: Amended
Amended Charges: Displaying Or Possessing Any Drivers License Which Is Fictitious Or Altered
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Pled guilty

More Information

All 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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