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Detailed Report
Brandon P Sugg
Brandon Paul Sugg, Brandon Sugg
CRD#: 6136048
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 824 A1A N
PONTE VEDRA BEACH, FL 32082
Registration History
20172018201920202021202220232024202520262 FIRMS2019 - 2019 (<1 year)2 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - 2019 (1 year)
License(s)

State Registrations

B
Alabama 10/18/2022
B
Massachusetts 10/18/2022
B
California 10/19/2022
B
Michigan 10/18/2022
B
Connecticut 10/18/2022
B
New Jersey 10/18/2022
B
Florida 8/15/2022
B
New York 10/18/2022
IA
Florida 8/16/2022
B
Pennsylvania 10/18/2022
B
Georgia 10/18/2022
B
Texas 10/18/2022
B
Louisiana 2/24/2023
IA
Texas 10/18/2022

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)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 8/16/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
824 A1A N, PONTE VEDRA BEACH, FL 32082
Registered with this firm since 8/15/2022
Previous Registration(s)
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IA
 02/19/2020 - 06/28/2022 EDWARD JONES (CRD#:250) PONTE VEDRA BEACH, FL
B
 02/18/2020 - 06/28/2022 EDWARD JONES (CRD#:250) PONTE VEDRA BEACH, FL
IA
 08/08/2019 - 11/15/2019 FIRST COMMAND ADVISORY SERVICES (CRD#:281958) Jacksonville, FL
B
 03/12/2019 - 11/15/2019 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) JACKSONVILLE BEACH, FL
B
 11/27/2017 - 02/06/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.