Individual Firm
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BRIAN MICHAEL SHAMBO
CRD#: 3208852
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 660 BEACHLAND BLVD
VERO BEACH, FL 32963
VERO BEACH, FL 32963
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1/19/2016
Customer Dispute
Denied
State Registrations
B
Alabama 1/13/2017
B
Nevada 7/3/2018
B
Arizona 4/29/2016
B
New Hampshire 10/23/2009
B
California 10/23/2009
B
New Jersey 10/23/2009
B
Colorado 10/23/2009
B
New Mexico 8/6/2024
B
Connecticut 10/23/2009
B
New York 10/23/2009
B
Delaware 5/23/2013
B
North Carolina 10/23/2009
B
Florida 10/23/2009
B
Ohio 6/7/2012
IA
Florida 10/23/2009
B
Oklahoma 3/6/2023
B
Georgia 5/23/2013
B
Oregon 4/11/2022
B
Hawaii 2/14/2013
B
Pennsylvania 9/14/2010
B
Illinois 10/23/2009
B
South Carolina 5/23/2013
B
Indiana 11/28/2022
B
Tennessee 9/20/2013
B
Iowa 1/13/2014
B
Texas 6/7/2012
B
Kansas 8/1/2024
IA
Texas 6/28/2012
B
Maine 6/7/2012
B
Vermont 9/9/2016
B
Maryland 6/7/2012
B
Virgin Islands 4/3/2024
B
Massachusetts 10/23/2009
B
Virginia 10/23/2009
B
Michigan 6/7/2012
B
Washington 10/23/2009
B
Minnesota 2/14/2013
B
West Virginia 6/7/2012
B
Mississippi 6/18/2012
B
Wisconsin 7/3/2018
B
Nebraska 6/16/2015
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/23/2001 - 10/23/2009 | VERO BEACH, FL | |
B | 08/24/2000 - 10/23/2009 | VERO BEACH, FL |
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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.