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Detailed Report
BRIAN FINK
BRIAN L FINK
CRD#: 5190269
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 GORHAM ISLAND RD
WESTPORT, CT 06880
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2014 - Present (10 years)BNFP ADVISOR SERVICES, LLC (CRD# 42046)2014 - 2014 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2012 - 2014 (1 year)BSPIRE SECURITIES, LLC (CRD# 144131)2011 - 2012 (<1 year)IAWASHINGTON WEALTH MANAGEMENT (CRD# 155193)2011 - 2014 (2 years)
License(s)

State Registrations

B
Connecticut 12/10/2014
B
Massachusetts 6/14/2018
IA
Connecticut 12/10/2014
B
Vermont 2/23/2022

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)
1 GORHAM ISLAND RD, WESTPORT, CT 06880
Registered with this firm since 12/10/2014
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 GORHAM ISLAND RD, WESTPORT, CT 06880
Registered with this firm since 12/10/2014
Previous Registration(s)
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IA
 12/22/2011 - 11/10/2014 WASHINGTON WEALTH MANAGEMENT (CRD#:155193) WESTPORT, CT
B
 02/28/2014 - 11/03/2014 NFP ADVISOR SERVICES, LLC (CRD#:42046) WESTPORT, CT
B
 09/28/2012 - 03/07/2014 LPL FINANCIAL LLC (CRD#:6413) WESTPORT, CT
B
 12/09/2011 - 09/28/2012 SPIRE SECURITIES, LLC (CRD#:144131) WESTPORT, CT
IA
 12/03/2009 - 01/03/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) FAIRFIELD, CT
B
 12/03/2009 - 01/03/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) FAIRFIELD, CT
IA
 12/21/2007 - 12/18/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MADISON, CT
B
 11/08/2007 - 12/18/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MADISON, CT
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.