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Brian S Moore
BRIAN SCOTT MOORE, BRIAN MOORE
CRD#: 4719391
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5910 N CENTRAL EXPY
DALLAS, TX 75206
Registration History
200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - Present (21 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - Present (21 years)
Disclosure(s)
View By:
4/13/2009
Customer Dispute
Settled
4/13/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/28/2019

B
Nevada 12/8/2023

B
Arizona 8/25/2017

B
New Jersey 3/30/2022

B
Arkansas 1/7/2005

B
New Mexico 1/28/2021

B
California 6/12/2008

B
New York 9/9/2016

B
Colorado 3/8/2005

B
North Carolina 2/28/2019

B
Connecticut 3/24/2015

B
Ohio 1/19/2021

B
District of Columbia 10/15/2021

B
Oklahoma 2/28/2019

B
Florida 3/12/2010

B
Oregon 8/21/2015

B
Georgia 1/7/2014

B
Pennsylvania 4/11/2014

B
Illinois 2/25/2021

B
Tennessee 6/11/2020

B
Iowa 2/28/2019

B
Texas 12/15/2003

B
Kansas 12/9/2024

IA
Texas 2/4/2004

B
Kentucky 2/26/2019

B
Utah 12/5/2023

B
Louisiana 3/1/2019

B
Virginia 9/17/2010

B
Mississippi 2/28/2019

B
Washington 3/27/2019

B
Missouri 12/5/2023

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)
5910 N CENTRAL EXPY, DALLAS, TX 75206
Registered with this firm since 2/4/2004

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5910 N CENTRAL EXPY, DALLAS, TX 75206
Registered with this firm since 12/5/2003

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Broker
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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.