ANN MARIE HOLDER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 3760 HWY 121, PLANO, TX, 75025.
ANN MARIE HOLDER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since June 16, 2017
Disclosure History
ANN MARIE HOLDER has 9 Disclosure Event(s).
Date: July 01, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: Compromise was result of divorce.
Date: June 01, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: Compromise was result of divorce.
Date: March 31, 2011 Category: Financial Type: Compromise Disposition: Dismissed
Date: November 10, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 03, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 20, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: Compromise was result of divorce.
Date: September 26, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: June 07, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: June 07, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
More Information
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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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