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Richard Patrick Brooks

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Savannah, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-12-20
TX RA APPROVED_RES 2012-08-20
NV RA APPROVED 2006-01-26
  • GA RA
    APPROVED
    Since 2023-12-20
  • TX RA
    APPROVED_RES
    Since 2012-08-20
  • NV RA
    APPROVED
    Since 2006-01-26

Branch Locations

3 Skidaway Village Sq, Savannah, GA 31411 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Las Vegas NV 01/2006 Present
Bank Of America, Na Las Vegas NV 09/2009 Present
  • 01/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Las Vegas, NV
  • 09/2009 → Present
    Bank Of America, Na
    Las Vegas, NV
Previous Registrations
  • 2002-09-04 → 2006-01-23
    Morgan Stanley Dw Inc.
    Henderson, NV
Other Businesses

.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-06
  • S66 Uniform Combined State Law Examination
    2001-08-06

View on SEC IAPD

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