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Detailed Report
Haley Brennan
Haley Joelle Brennan
CRD#: 7308314
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 77 BROAD ST
RED BANK, NJ 07701
Registration History
2021202220232024202520262 FIRMS2023 - Present (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2021 - 2023 (2 years)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2021 - 2021 (<1 year)IAFIRST REPUBLIC INVESTMENT MANA... (CRD# 108559)2022 - 2023 (1 year)
License(s)

State Registrations

B
Connecticut 10/23/2023
IA
New Jersey 10/10/2023
B
Delaware 10/23/2023
B
New York 10/23/2023
B
District of Columbia 10/23/2023
B
Pennsylvania 10/23/2023
B
Florida 10/23/2023
B
Rhode Island 10/23/2023
B
Illinois 1/25/2024
B
South Carolina 9/18/2024
B
Maryland 10/23/2023
B
Texas 10/23/2023
B
Massachusetts 10/23/2023
IA
Texas 10/30/2023
B
New Hampshire 10/23/2023
B
Utah 8/19/2024
B
New Jersey 10/10/2023
B
Virginia 10/23/2023

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)
77 BROAD ST, RED BANK, NJ 07701
Registered with this firm since 10/10/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
77 BROAD ST, RED BANK, NJ 07701
Registered with this firm since 10/10/2023
Previous Registration(s)
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IA
 03/02/2022 - 09/19/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) New York, NY
B
 01/07/2021 - 09/19/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) NEW YORK, NY
B
 01/04/2021 - 01/07/2021 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) 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.