Individual Firm
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BRIAN VINCENT TESTA
CRD#: 5214569
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 410 E SILVERADO RANCH BLVD
LAS VEGAS, NV 89123
LAS VEGAS, NV 89123
0
Disclosures
16
Years of Experience
View By:
State Registrations
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Arizona 12/9/2015
IA
Nevada 1/4/2016
B
California 12/9/2015
B
Oregon 7/6/2016
B
Florida 7/6/2016
B
Texas 7/6/2016
B
Idaho 7/6/2016
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Texas 7/28/2016
B
Nevada 12/9/2015
B
Utah 7/6/2016
SRO Registrations
B
B
B
B
B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 1/4/2016
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Registered with this firm since 12/9/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 09/24/2015 | HENDERSON, NV | |
B | 10/01/2012 - 09/24/2015 | HENDERSON, NV | |
IA | 08/10/2011 - 10/01/2012 | LAS VEGAS, NV | |
B | 08/10/2011 - 10/01/2012 | LAS VEGAS, NV | |
IA | 02/02/2007 - 08/19/2009 | LAS VEGAS, NV | |
B | 11/08/2006 - 08/19/2009 | LAS VEGAS, NV |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.