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Chief Legal Officer · Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Carleton Jr Heaton

CRD 5972432 · Named on Form ADV at one SEC-registered adviser

At a glance

Merrill Lynch, Pierce, Fenner & Smith Incorporated, an SEC-registered broker-dealer firm based in New York, NY with $1.8 trillion in regulatory assets, lists David Carleton Jr Heaton on its Form ADV as Chief Legal Officer.

Firms and roles

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David’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (7)

  • Lindsay Denardo HansState Designated Principal & Director, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Eric A SchimpfDirector & Chief Executive Officer, State Designated Principal, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Nancy Monir FahmyDirector, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Susan F AxelrodChief Compliance Officer, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Vincent C. SantannaChief Operations Officer & Finop, Merrill Lynch, Pierce, Fenner & Smith Incorporated

2 more people named with David on the same filings, with titles and firms. Free in Atlas with a free account.

See all 7 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.