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Detailed Report
Brett Rosenthal
CRD#: 5591309
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - Present (6 years)BMORGAN STANLEY DISTRIBUTION, INC. (CRD# 30344)2008 - 2013 (4 years)
License(s)

State Registrations

B
Alabama 2/1/2022
B
Nevada 5/1/2019
B
Alaska 9/26/2019
B
New Hampshire 9/6/2019
B
Arizona 5/1/2019
B
New Jersey 5/1/2019
B
California 5/1/2019
B
New Mexico 10/1/2024
B
Colorado 5/1/2019
B
New York 5/1/2019
B
Connecticut 5/1/2019
B
North Carolina 5/1/2019
B
Delaware 5/1/2019
B
Ohio 2/22/2023
B
District of Columbia 5/1/2019
B
Oklahoma 9/6/2019
B
Florida 5/1/2019
B
Oregon 5/1/2019
B
Georgia 5/1/2019
B
Pennsylvania 6/1/2018
B
Hawaii 2/21/2023
IA
Pennsylvania 6/1/2018
B
Idaho 2/21/2023
B
Rhode Island 5/1/2019
B
Illinois 5/1/2019
B
South Carolina 5/1/2019
B
Kansas 3/16/2023
B
Tennessee 5/1/2019
B
Kentucky 9/6/2019
B
Texas 5/1/2019
B
Louisiana 3/16/2023
IA
Texas 5/16/2019
B
Maine 2/21/2023
B
Utah 5/1/2019
B
Maryland 5/1/2019
B
Virginia 5/1/2019
B
Massachusetts 5/1/2019
B
Washington 2/21/2023
B
Michigan 2/1/2023
B
West Virginia 9/6/2019
B
Missouri 5/17/2022
B
Wisconsin 9/26/2019
B
Montana 9/26/2019
B
Wyoming 1/16/2023

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

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)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 6/1/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 4/13/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/12/2008 - 03/27/2013 MORGAN STANLEY DISTRIBUTION, INC. (CRD#:30344) WEST CONSHOHOCKEN, PA
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.