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Detailed Report
Bryan C. Smith
Bryan Smith
CRD#: 6768481
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1600 GOLF RD
CI RELATIONSHIP MANAGEMENT
ROLLING MEADOWS, IL 60008
Registration History
200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
12/22/2006
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 10/3/2023
B
Nebraska 10/3/2023
B
Alaska 10/4/2023
B
Nevada 6/27/2017
B
Arizona 6/14/2017
B
New Hampshire 10/6/2023
B
California 10/4/2023
B
New Jersey 10/4/2023
B
Colorado 10/4/2023
B
New Mexico 10/4/2023
B
Connecticut 10/4/2023
B
New York 10/5/2023
B
Delaware 10/10/2023
B
North Carolina 10/5/2023
B
District of Columbia 10/13/2023
B
North Dakota 10/9/2023
B
Florida 6/15/2017
B
Ohio 10/4/2023
B
Georgia 10/5/2023
B
Oklahoma 10/4/2023
B
Hawaii 10/12/2023
B
Oregon 10/3/2023
B
Idaho 10/4/2023
B
Pennsylvania 10/4/2023
B
Illinois 6/14/2017
B
Puerto Rico 10/17/2023
IA
Illinois 6/14/2017
B
Rhode Island 10/4/2023
B
Indiana 6/14/2017
B
South Carolina 10/5/2023
B
Iowa 6/15/2017
B
South Dakota 10/4/2023
B
Kansas 10/4/2023
B
Tennessee 10/5/2023
B
Kentucky 6/14/2017
IA
Texas 6/22/2017
B
Louisiana 10/9/2023
B
Texas 6/30/2017
B
Maine 10/4/2023
B
Utah 10/4/2023
B
Maryland 10/6/2023
B
Vermont 10/4/2023
B
Massachusetts 10/4/2023
B
Virgin Islands 10/5/2023
B
Michigan 6/16/2017
B
Virginia 10/4/2023
B
Minnesota 10/3/2023
B
Washington 10/3/2023
B
Mississippi 10/9/2023
B
West Virginia 10/5/2023
B
Missouri 6/16/2017
B
Wisconsin 6/20/2017
B
Montana 10/4/2023
B
Wyoming 10/9/2023

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)
1600 GOLF RD CI RELATIONSHIP MANAGEMENT, ROLLING MEADOWS, IL 60008
Chicago, IL
Registered with this firm since 6/14/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1600 GOLF RD CI RELATIONSHIP MANAGEMENT, ROLLING MEADOWS, IL 60008
Chicago, IL
Registered with this firm since 4/20/2017
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.