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Brian Thomas Bothe
BRIAN T BOTHE, BRIAN THOMAS BOTHE, Brian Bothe
CRD#: 2962893
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 110 ALLEN ROAD
2ND FLOOR
BASKING RIDGE, NJ 07920
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2004 (2 years)2 FIRMS2004 - 2004 (<1 year)2 FIRMS2019 - 2021 (1 year)2 FIRMS2022 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2005 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 1999 (1 year)
Disclosure(s)
View By:
2/28/2022
Financial
Final
2/28/2022
Financial
Final
2/22/2022
Financial
Final
1/28/2022
Financial
Final
11/30/2021
Financial
Final
3/29/2021
Financial
Final
2/28/2021
Financial
Final
12/15/2020
Financial
Final
11/28/2020
Financial
Final
11/25/2020
Financial
Final
11/1/2020
Financial
Final
11/1/2020
Financial
Final
11/1/2020
Financial
Final
License(s)

State Registrations

B
Arizona 12/6/2024

B
New Jersey 12/6/2024

B
Colorado 12/6/2024

IA
New Jersey 12/9/2024

B
Connecticut 12/6/2024

B
New York 12/6/2024

B
Delaware 12/6/2024

B
North Carolina 12/6/2024

B
District of Columbia 12/6/2024

B
Ohio 12/6/2024

B
Florida 12/6/2024

B
Oregon 12/6/2024

B
Hawaii 12/6/2024

B
Pennsylvania 12/6/2024

B
Indiana 12/6/2024

B
Rhode Island 12/6/2024

B
Kentucky 12/6/2024

B
South Carolina 12/6/2024

B
Maine 12/6/2024

B
Texas 12/6/2024

B
Maryland 12/6/2024

IA
Texas 12/6/2024

B
Massachusetts 12/6/2024

B
Virginia 12/6/2024

B
New Hampshire 12/6/2024

B
Washington 12/6/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
110 ALLEN ROAD 2ND FLOOR, BASKING RIDGE, NJ 07920
Registered with this firm since 12/6/2024

B
LPL ENTERPRISE, LLC (CRD#:8733)
110 ALLEN ROAD 2ND FLOOR, BASKING RIDGE, NJ 07920
Registered with this firm since 12/6/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/19/2022 - 11/19/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SHORT HILLS, NJ
B
09/06/2022 - 11/19/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SHORT HILLS, NJ
IA
09/27/2019 - 05/04/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
B
08/12/2019 - 05/04/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
B
05/11/2004 - 02/07/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
IA
01/23/2004 - 05/10/2004 CHEVY CHASE FINANCIAL SERVICES (CRD#:14894) BETHESDA, MD
B
01/23/2004 - 05/10/2004 CHEVY CHASE FINANCIAL SERVICES (CRD#:14894) BETHESDA, MD
IA
09/04/2001 - 01/20/2004 MORGAN STANLEY (CRD#:7556) MCLEAN, VA
B
08/03/2001 - 01/20/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
12/10/1997 - 11/30/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.