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Detailed Report
MATTHEW EDWARD BRADY
MATTHEW BRADY
CRD#: 4185489
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3075 HANSEN WAY
PALO ALTO, CA 94304
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2017 - 2022 (5 years)3 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2011 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)2004 - 2008 (4 years)BPIPER JAFFRAY & CO. (CRD# 665)2002 - 2004 (1 year)BROBERTSON STEPHENS, INC. (CRD# 41271)2000 - 2002 (2 years)IABARCLAYS CAPITAL INC. (CRD# 19714)2009 - 2011 (2 years)IALEHMAN BROTHERS INC. (CRD# 7506)2007 - 2008 (1 year)
License(s)

State Registrations

B
California 8/9/2024
IA
California 8/9/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3075 HANSEN WAY, PALO ALTO, CA 94304
Registered with this firm since 8/9/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3075 HANSEN WAY, PALO ALTO, CA 94304
Registered with this firm since 8/9/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/13/2022 - 07/25/2024 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 09/13/2022 - 07/25/2024 CITI PRIVATE ALTERNATIVES, LLC (CRD#:153777) San Francisco, CA
B
 09/13/2022 - 07/25/2024 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
IA
 04/25/2017 - 09/07/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN FRANCISCO, CA
B
 03/30/2017 - 09/07/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN FRANCISCO, CA
IA
 01/21/2009 - 02/18/2011 BARCLAYS CAPITAL INC. (CRD#:19714) SAN FRANCISCO, CA
B
 09/22/2008 - 02/18/2011 BARCLAYS CAPITAL INC. (CRD#:19714) SAN FRANCISCO, CA
IA
 07/31/2007 - 10/15/2008 LEHMAN BROTHERS INC. (CRD#:7506) SAN FRANCISCO, CA
B
 07/27/2004 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) SAN FRANCISCO, CA
B
 09/16/2002 - 07/07/2004 PIPER JAFFRAY & CO. (CRD#:665) MINNEAPOLIS, MN
B
 07/28/2000 - 08/19/2002 ROBERTSON STEPHENS, INC. (CRD#:41271) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.