Individual Firm
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WILLIAM JACKSON BROOKS
CRD#: 2611354
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 200 CENTRAL AVE
SAINT PETERSBURG, FL 33701
SAINT PETERSBURG, FL 33701
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10/1/1983
Criminal
Final Disposition
State Registrations
B
Alabama 4/19/2021
B
New York 7/11/2014
B
California 11/16/2005
B
North Carolina 11/21/2005
B
Colorado 3/17/2023
B
Pennsylvania 9/16/2021
B
Connecticut 2/3/2022
B
South Carolina 11/21/2005
B
Florida 9/30/2005
B
South Dakota 3/14/2008
IA
Florida 10/3/2005
B
Tennessee 9/10/2008
B
Georgia 7/11/2014
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Texas 11/28/2005
B
Illinois 7/18/2013
B
Texas 2/25/2016
B
Indiana 11/14/2019
B
Utah 7/28/2020
B
Kentucky 1/30/2023
B
Vermont 2/14/2011
B
Maine 4/28/2022
B
Virginia 11/11/2005
B
Maryland 2/24/2016
B
Washington 11/16/2005
B
Michigan 7/20/2020
B
West Virginia 11/18/2021
B
Mississippi 7/6/2022
B
Wisconsin 7/2/2021
B
New Mexico 7/31/2020
SRO Registrations
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B
B
B
B
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Registered with this firm since 10/3/2005
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Registered with this firm since 9/30/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/18/2003 - 10/18/2005 | ST . PETERSBURG, FL | |
B | 06/20/2000 - 10/17/2005 | BIRMINGHAM, AL | |
IA | 02/03/2003 - 07/29/2003 | ST. PETERSBURG, FL | |
B | 05/16/1995 - 12/23/1998 | CHARLOTTE, NC |
ST . PETERSBURG, FL
08/18/2003 - 10/18/2005
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.