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Detailed Report
Dannielle B Thomas
DANNIELLE BROWN, Dannielle Brittany Brown, DANNIELLE BRITTANY THOMAS, DANNIELLE THOMAS
CRD#: 6706113
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3 BETTER WORLD CIR
TEMECULA, CA 92590
Registration History
201620172018201920202021202220232024202520262 FIRMS2018 - 2020 (1 year)2 FIRMS2020 - 2020 (<1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2018 (1 year)
License(s)

State Registrations

B
California 12/13/2024
B
Michigan 3/3/2025
IA
California 12/13/2024

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

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)
3 BETTER WORLD CIR, TEMECULA, CA 92590
Registered with this firm since 12/13/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3 BETTER WORLD CIR, TEMECULA, CA 92590
Registered with this firm since 12/13/2024
Previous Registration(s)
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IA
 04/05/2022 - 05/16/2024 WELLS FARGO ADVISORS (CRD#:19616) SANTA ANA, CA
B
 04/05/2022 - 05/16/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SANTA ANA, CA
IA
 01/15/2021 - 04/06/2022 EDWARD JONES (CRD#:250) Laguna Hills, CA
B
 01/15/2021 - 04/06/2022 EDWARD JONES (CRD#:250) Laguna Hills, CA
IA
 02/18/2020 - 03/16/2020 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) Riverside, CA
B
 02/18/2020 - 03/16/2020 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) Riverside, CA
IA
 09/17/2018 - 02/18/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
B
 06/27/2018 - 02/18/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
B
 11/04/2016 - 06/04/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LAKE FOREST, CA
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.