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THOMAS KENNETH BROWN
CRD#: 5944283
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 601 POYDRAS ST
NEW ORLEANS, LA 70130
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2016 (2 years)2 FIRMS2024 - Present (<1 year)BJEFFERIES LLC (CRD# 2347)2018 - 2024 (5 years)IAJEFFERIES INVESTMENT ADVISERS LLC (CRD# 325421)2023 - 2024 (<1 year)IALEUCADIA ASSET MANAGEMENT LLC (CRD# 121767)2018 - 2023 (5 years)
License(s)

State Registrations

B
Alabama 2/14/2024

B
Nebraska 2/14/2024

B
Arizona 2/14/2024

B
Nevada 2/14/2024

B
Arkansas 3/8/2024

B
New Jersey 2/14/2024

B
California 2/14/2024

B
New Mexico 2/14/2024

B
Colorado 2/14/2024

B
New York 2/14/2024

B
Connecticut 2/14/2024

B
North Carolina 2/14/2024

B
Delaware 2/14/2024

B
Ohio 2/14/2024

B
District of Columbia 2/14/2024

B
Oklahoma 2/14/2024

B
Florida 2/14/2024

B
Oregon 2/14/2024

B
Georgia 2/14/2024

B
Pennsylvania 2/14/2024

B
Hawaii 2/14/2024

B
Rhode Island 2/14/2024

B
Idaho 2/14/2024

B
South Carolina 2/14/2024

B
Illinois 2/14/2024

B
Tennessee 2/14/2024

B
Kentucky 2/14/2024

B
Texas 2/14/2024

B
Louisiana 2/9/2024

IA
Texas 3/4/2024

IA
Louisiana 2/9/2024

B
Utah 2/14/2024

B
Maryland 2/14/2024

B
Virginia 2/14/2024

B
Massachusetts 2/14/2024

B
Washington 2/14/2024

B
Mississippi 2/14/2024

B
West Virginia 2/14/2024

B
Missouri 2/14/2024

B
Wyoming 2/14/2024

B
Montana 2/14/2024

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)
601 POYDRAS ST, NEW ORLEANS, LA 70130
Registered with this firm since 2/9/2024

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 POYDRAS ST, NEW ORLEANS, LA 70130
Registered with this firm since 2/9/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/14/2023 - 02/07/2024 JEFFERIES INVESTMENT ADVISERS LLC (CRD#:325421) Miami, FL
B
06/21/2018 - 02/07/2024 JEFFERIES LLC (CRD#:2347) Miami, FL
IA
08/17/2018 - 08/14/2023 LEUCADIA ASSET MANAGEMENT LLC (CRD#:121767) Miami, FL
IA
05/30/2014 - 06/29/2016 RBC CAPITAL MARKETS, LLC (CRD#:31194) NEW YORK, NY
B
05/02/2014 - 06/29/2016 RBC CAPITAL MARKETS, LLC (CRD#:31194) NEW YORK, NY
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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.