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BRANDON THEODORE ASHER
CRD#: 5924831
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2815 TOWNSGATE RD
PBIG- WESTLAKE VILLAGE PWM
WESTLAKE VILLAGE, CA 91361
Registration History
201220142016201820202022202420262 FIRMS2011 - 2016 (5 years)2 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
12/14/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/30/2017

B
Maryland 7/26/2019

B
Arizona 8/30/2017

B
Massachusetts 8/15/2018

B
California 11/3/2016

B
Michigan 9/5/2024

IA
California 11/4/2016

B
Missouri 11/3/2016

B
Colorado 5/25/2018

B
Montana 6/11/2018

B
Connecticut 11/2/2022

B
Nevada 11/3/2016

B
Delaware 12/18/2017

B
New York 11/3/2016

B
Florida 1/23/2020

B
North Carolina 9/1/2017

B
Georgia 3/31/2020

B
Ohio 8/16/2017

B
Hawaii 12/18/2017

B
Oregon 1/25/2019

B
Idaho 1/22/2018

B
Tennessee 11/1/2021

B
Illinois 8/16/2017

B
Texas 11/3/2016

B
Kansas 7/14/2017

IA
Texas 11/3/2016

B
Kentucky 8/29/2023

B
Utah 10/3/2023

B
Louisiana 10/8/2021

B
Virginia 7/9/2020

B
Maine 9/2/2022

B
Washington 11/3/2016

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)
2815 TOWNSGATE RD PBIG- WESTLAKE VILLAGE PWM, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 11/3/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2815 TOWNSGATE RD PBIG- WESTLAKE VILLAGE PWM, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 11/3/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/08/2011 - 11/07/2016 MORGAN STANLEY (CRD#:149777) LA JOLLA, CA
B
07/08/2011 - 11/07/2016 MORGAN STANLEY (CRD#:149777) LA JOLLA, CA
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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.