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CAROLYN E BROWN - SIMPSON
CAROLYN E BROWN
CRD#: 5281043
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1803 BROADWAY ST
SAN ANTONIO, TX 78215
Registration History
2010201220142016201820202022202420262 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 10/5/2010

B
Montana 9/15/2021

B
Arizona 10/5/2010

B
Nebraska 1/11/2022

B
Arkansas 10/5/2010

B
Nevada 10/5/2010

B
California 10/5/2010

B
New Hampshire 10/5/2010

B
Colorado 10/5/2010

B
New Jersey 10/5/2010

B
Connecticut 10/5/2010

B
New Mexico 11/1/2024

B
District of Columbia 10/5/2010

B
New York 10/5/2010

B
Florida 10/5/2010

B
North Carolina 10/5/2010

B
Georgia 10/5/2010

B
Ohio 10/6/2010

B
Hawaii 3/1/2019

B
Oklahoma 10/5/2010

B
Idaho 9/16/2019

B
Oregon 10/5/2010

B
Illinois 10/5/2010

B
Pennsylvania 10/5/2010

B
Indiana 10/5/2010

B
South Carolina 2/20/2024

B
Iowa 10/5/2010

B
South Dakota 1/11/2021

B
Kansas 10/5/2010

B
Tennessee 10/5/2010

B
Louisiana 10/5/2010

B
Texas 8/31/2010

B
Maryland 10/5/2010

IA
Texas 8/31/2010

B
Massachusetts 10/5/2010

B
Utah 10/5/2010

B
Michigan 10/5/2010

B
Vermont 2/7/2024

B
Minnesota 10/5/2010

B
Virginia 10/5/2010

B
Mississippi 10/5/2010

B
Washington 10/5/2010

B
Missouri 10/5/2010

B
Wisconsin 5/3/2021

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)
1803 BROADWAY ST, SAN ANTONIO, TX 78215
Registered with this firm since 8/31/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1803 BROADWAY ST, SAN ANTONIO, TX 78215
Registered with this firm since 6/4/2010

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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.