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BRIAN C SMITHERS
CRD#: 4916321
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2815 TOWNSGATE RD
WESTLAKE VILLAGE, CA 91361
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - Present (16 years)
License(s)

State Registrations

B
Alabama 3/1/2012

B
Nebraska 3/1/2012

B
Alaska 3/1/2012

B
Nevada 1/13/2009

B
Arizona 1/13/2009

B
New Hampshire 3/1/2012

B
Arkansas 3/1/2012

B
New Jersey 3/1/2012

B
California 10/15/2008

B
New Mexico 3/1/2012

IA
California 10/15/2008

B
New York 3/1/2012

B
Colorado 3/1/2012

B
North Carolina 3/2/2012

B
Connecticut 3/1/2012

B
North Dakota 3/1/2012

B
Delaware 3/1/2012

B
Ohio 3/2/2012

B
District of Columbia 3/1/2012

B
Oklahoma 3/1/2012

B
Florida 3/1/2012

B
Oregon 3/1/2012

B
Georgia 3/1/2012

B
Pennsylvania 3/1/2012

B
Hawaii 3/1/2012

B
Puerto Rico 3/1/2012

B
Idaho 3/1/2012

B
Rhode Island 3/1/2012

B
Illinois 3/1/2012

B
South Carolina 3/1/2012

B
Indiana 3/1/2012

B
South Dakota 3/1/2012

B
Iowa 3/1/2012

B
Tennessee 3/1/2012

B
Kansas 3/1/2012

B
Texas 3/1/2012

B
Kentucky 3/1/2012

IA
Texas 3/22/2013

B
Louisiana 3/1/2012

B
Utah 3/1/2012

B
Maine 3/1/2012

B
Vermont 3/1/2012

B
Maryland 3/1/2012

B
Virgin Islands 3/1/2012

B
Massachusetts 3/1/2012

B
Virginia 3/1/2012

B
Michigan 3/1/2012

B
Washington 3/1/2012

B
Minnesota 3/1/2012

B
West Virginia 3/1/2012

B
Mississippi 3/1/2012

B
Wisconsin 3/1/2012

B
Missouri 3/1/2012

B
Wyoming 3/1/2012

B
Montana 3/1/2012

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

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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)
2815 TOWNSGATE RD, WESTLAKE VILLAGE, CA 91361
Thousand Oaks, CA
Registered with this firm since 10/15/2008

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2815 TOWNSGATE RD, WESTLAKE VILLAGE, CA 91361
Thousand Oaks, CA
Registered with this firm since 7/29/2008

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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.