• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Nicholas Brown
CRD#: 6915009
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
201920202021202220232024202520262 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Alaska 12/9/2022

B
New Hampshire 9/12/2023

B
Arizona 10/29/2019

B
New Jersey 9/12/2023

B
California 10/1/2019

B
New York 6/26/2023

IA
California 10/1/2019

B
North Carolina 3/24/2022

B
Colorado 4/18/2022

B
Oregon 11/23/2022

B
Connecticut 6/29/2020

B
Pennsylvania 6/26/2023

B
Florida 5/31/2022

B
South Carolina 3/24/2020

B
Georgia 3/24/2022

B
South Dakota 9/13/2022

B
Hawaii 6/26/2023

B
Tennessee 3/24/2022

B
Idaho 6/26/2023

B
Texas 3/24/2022

B
Illinois 9/12/2023

IA
Texas 3/25/2022

B
Kansas 2/5/2024

B
Utah 6/22/2023

B
Kentucky 7/6/2022

B
Vermont 6/9/2023

B
Maine 10/23/2023

B
Virginia 6/26/2023

B
Maryland 4/18/2022

B
Washington 3/2/2022

B
Missouri 3/24/2020

B
West Virginia 7/7/2020

B
Nevada 10/29/2019

B
Wisconsin 2/23/2024

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 10/1/2019

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 9/4/2019

For additional information about investment advisers or broker-dealers, please visit
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.