• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SCOTT D BROWN
SCOTT D. BROWN, SCOTT DOUGLAS BROWN
CRD#: 4586880
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
BOSTON, MA 02110
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2012 (4 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - Present (12 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - Present (12 years)BLEHMAN BROTHERS INC. (CRD# 7506)2004 - 2008 (4 years)BBEAR, STEARNS & CO. INC. (CRD# 79)2003 - 2004 (1 year)
License(s)

State Registrations

B
Connecticut 12/20/2012

B
New York 11/6/2020

IA
Connecticut 1/2/2013

B
Rhode Island 6/12/2017

B
Massachusetts 12/20/2012

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)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 1/2/2013

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 12/20/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/20/2008 - 12/06/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
B
10/20/2008 - 12/06/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
B
09/22/2008 - 11/05/2008 BARCLAYS CAPITAL INC. (CRD#:19714) BOSTON, MA
IA
03/31/2008 - 10/15/2008 LEHMAN BROTHERS INC. (CRD#:7506) BOSTON, MA
B
06/22/2004 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) BOSTON, MA
B
03/07/2003 - 05/27/2004 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.