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Helen D Sharpe
HELEN DAVIES BROWN
CRD#: 5140840
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)
Disclosure(s)
View By:
2/16/2010
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/11/2009

B
New Hampshire 2/8/2024

B
Arkansas 9/28/2023

B
New Jersey 10/29/2021

B
California 4/30/2007

B
New Mexico 8/27/2024

B
Colorado 2/11/2008

B
New York 8/21/2008

B
Connecticut 8/27/2024

B
North Carolina 6/9/2008

B
Delaware 9/9/2024

B
Ohio 6/17/2019

B
District of Columbia 9/24/2012

B
Oklahoma 12/2/2008

B
Florida 6/6/2008

B
Oregon 9/11/2009

B
Georgia 8/21/2008

B
Pennsylvania 5/3/2022

B
Illinois 9/6/2024

B
Tennessee 1/29/2025

B
Louisiana 8/21/2008

B
Texas 12/15/2006

B
Mississippi 9/11/2009

IA
Texas 12/15/2006

B
Missouri 5/2/2023

B
Utah 12/22/2022

B
Montana 8/19/2024

B
Virginia 6/5/2007

B
Nebraska 8/27/2024

B
Washington 2/24/2009

B
Nevada 3/26/2013

B
Wisconsin 4/25/2023

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

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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)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 12/15/2006

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 10/26/2006

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B
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.