{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 2438168, \"firstName\": \"STEVEN\", \"middleName\": \"MARC\", \"lastName\": \"NAGEL\", \"otherNames\": [], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"6/22/1995\"}, \"currentEmployments\": [{\"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"9/24/1996\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"806882\", \"street1\": \"1 COWBOYS WAY\", \"street2\": \"TEXAS PWM FRISCO\", \"city\": \"FRISCO\", \"cityAlias\": [\"FRISCO\"], \"state\": \"TX\", \"country\": \"United States\", \"zipCode\": \"75034\", \"latitude\": \"33.121358\", \"longitude\": \"-96.837384\", \"geoLocation\": \"33.121358,-96.837384\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"03/01/2023\"}]}], \"currentIAEmployments\": [{\"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"9/27/1996\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"806882\", \"street1\": \"1 COWBOYS WAY\", \"street2\": \"TEXAS PWM FRISCO\", \"city\": \"FRISCO\", \"cityAlias\": [\"FRISCO\"], \"state\": \"TX\", \"country\": \"United States\", \"zipCode\": \"75034\", \"latitude\": \"33.121358\", \"longitude\": \"-96.837384\", \"geoLocation\": \"33.121358,-96.837384\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"03/01/2023\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"bdSECNumber\": \"23292\", \"firmId\": 7784, \"firmName\": \"FIDELITY BROKERAGE SERVICES, INC.\", \"city\": \"SMITHFIELD\", \"state\": \"RI\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"3/11/1996\", \"registrationEndDate\": \"8/30/1996\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"35097\", \"firmId\": 17507, \"firmName\": \"FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.\", \"city\": \"SMITHFIELD\", \"state\": \"RI\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"5/30/1995\", \"registrationEndDate\": \"3/11/1996\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"previousIAEmployments\": [], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"3/19/2001\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMER ALLEGES THAT THE PURCHASE OF A VARIABLE ANNUITY WAS UNSUITABLE. NO DAMAGES SPECIFIED.\", \"Settlement Amount\": \"$31,758.58\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"IN ORDER TO AVOID THE COST & UNCERTAINTY OF FURTHER DISPUTE REGARDING THIS MATTER, CLIENT WAS PAID $31,758.58.\"]}}], \"examsCount\": {\"stateExamCount\": 2, \"principalExamCount\": 2, \"productExamCount\": 4}, \"stateExamCategory\": [{\"examCategory\": \"Series 65\", \"examName\": \"Uniform Investment Adviser Law Examination\", \"examTakenDate\": \"10/30/1996\", \"examScope\": \"IA\"}, {\"examCategory\": \"Series 63\", \"examName\": \"Uniform Securities Agent State Law Examination\", \"examTakenDate\": \"3/29/1995\", \"examScope\": \"BC\"}], \"principalExamCategory\": [{\"examCategory\": \"Series 9\", \"examName\": \"General Securities Sales Supervisor - Options Module Examination\", \"examTakenDate\": \"11/9/2007\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 10\", \"examName\": \"General Securities Sales Supervisor - General Module Examination\", \"examTakenDate\": \"12/18/2006\", \"examScope\": \"BC\"}], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 31\", \"examName\": \"Futures Managed Funds Examination\", \"examTakenDate\": \"9/10/2003\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"12/6/1995\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 6\", \"examName\": \"Investment Company Products/Variable Contracts Representative Examination\", \"examTakenDate\": \"5/24/1995\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 6, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 41, \"approvedIAStateRegistrationCount\": 1}, \"registeredStates\": [{\"state\": \"Alabama\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/22/2018\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/22/2015\"}, {\"state\": \"Arkansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/11/2011\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/16/2001\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/20/1998\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/11/2021\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/9/2022\"}, {\"state\": \"District of Columbia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/11/2013\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/22/2002\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/10/2023\"}, {\"state\": \"Hawaii\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"10/18/2021\"}, {\"state\": \"Idaho\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/20/2021\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/29/2010\"}, {\"state\": \"Indiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/27/2010\"}, {\"state\": \"Iowa\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/23/2019\"}, {\"state\": \"Kentucky\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/2/2000\"}, {\"state\": \"Louisiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/26/2018\"}, {\"state\": \"Maine\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/16/2019\"}, {\"state\": \"Maryland\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/20/2026\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/12/2011\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/25/2024\"}, {\"state\": \"Mississippi\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/13/2000\"}, {\"state\": \"Missouri\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/9/2018\"}, {\"state\": \"Montana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/11/2024\"}, {\"state\": \"Nebraska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/3/2020\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/27/2005\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/13/2011\"}, {\"state\": \"New Mexico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/16/2006\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/29/2001\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/9/2009\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/2/2016\"}, {\"state\": \"Oklahoma\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"10/24/2008\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/28/2013\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/9/2021\"}, {\"state\": \"Rhode Island\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/7/2022\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/16/2011\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/27/1996\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"9/27/1996\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/2/2013\"}, {\"state\": \"Washington\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/9/2006\"}, {\"state\": \"West Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/18/2006\"}, {\"state\": \"Wyoming\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/17/2025\"}], \"registeredSROs\": [{\"sro\": \"Cboe BYX Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"Cboe BZX Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"Cboe Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"Full Registration/General Securities Representative\", \"General Securities Sales Supervisor\"]}, {\"sro\": \"Nasdaq Stock Market\", \"status\": \"APPROVED\"}, {\"sro\": \"New York Stock Exchange\", \"status\": \"APPROVED\"}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}