Brian M Papp

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-07-18
NJ	RA	APPROVED	2003-11-10

TX RA
APPROVED

Since 2019-07-18
NJ RA
APPROVED

Since 2003-11-10

Branch Locations

1100-1800 American Blvd Global Human Resources- The Academy, Pennington, NJ 08534 • United States

13135 Dairy Ashford Rd Global Human Resources- The Academy, Sugar Land, TX 77478 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	10/2003	Present

10/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Previous Registrations

2001-10-02 → 2003-05-06

Ameriprise Financial Services, Llc

Owings Mills, MD

Other Businesses

I*7207 For profit or not for profit: Name of outside business organization: Papp Rental Cottage Investment related: Address of business: Newtown PA, Pennsylvania 18940 Nature of business: , Position, title, association: , Start date of relationship: 9/10/2018 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-09-26

S66 Uniform Combined State Law Examination

2001-09-26

View on SEC IAPD