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Detailed Report
E M Broussard
E MARIE Marie BROUSSARD, E Marie Broussard, Edy Broussard, Ethel Marie Broussard, Marie Broussard
CRD#: 7021964
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 833 E MICHIGAN ST
MILWAUKEE, WI 53202
Registration History
2018201920202021202220232024202520262 FIRMS2022 - Present (3 years)BMORGAN STANLEY (CRD# 149777)2018 - 2022 (3 years)IAMORGAN STANLEY (CRD# 149777)2019 - 2022 (3 years)
License(s)

State Registrations

B
Arizona 1/24/2022
B
Minnesota 1/24/2022
B
California 1/24/2022
B
Nevada 3/2/2023
IA
California 11/8/2024
B
New Jersey 1/24/2022
B
Colorado 1/24/2022
B
New York 1/24/2022
B
Connecticut 1/24/2022
B
Ohio 4/5/2024
B
Delaware 1/24/2022
B
Oregon 1/24/2022
B
District of Columbia 1/24/2022
B
Pennsylvania 1/24/2022
B
Florida 1/24/2022
B
South Carolina 6/28/2023
B
Georgia 1/24/2022
B
Tennessee 1/24/2022
B
Hawaii 6/26/2024
B
Texas 1/24/2022
B
Illinois 1/24/2022
IA
Texas 1/24/2022
B
Indiana 1/24/2022
B
Virginia 1/24/2022
B
Kansas 3/6/2023
B
Washington 1/24/2022
B
Maine 1/24/2022
B
Wisconsin 1/24/2022
B
Maryland 1/24/2022
IA
Wisconsin 1/24/2022
B
Massachusetts 1/24/2022

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)
833 E MICHIGAN ST, MILWAUKEE, WI 53202
2049 CENTURY PARK E, LOS ANGELES, CA 90067
Registered with this firm since 1/24/2022
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
833 E MICHIGAN ST, MILWAUKEE, WI 53202
2049 CENTURY PARK E, LOS ANGELES, CA 90067
Registered with this firm since 1/24/2022
Previous Registration(s)
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IA
 02/08/2019 - 02/07/2022 MORGAN STANLEY (CRD#:149777) Milwaukee, WI
B
 11/27/2018 - 02/07/2022 MORGAN STANLEY (CRD#:149777) Milwaukee, WI
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.