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Brian Edmund Keefe

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Canaan, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2004-07-28
CT RA APPROVED 2003-04-08
  • TX RA
    APPROVED
    Since 2004-07-28
  • CT RA
    APPROVED
    Since 2003-04-08

Branch Locations

2 Pine St, New Canaan, CT 06840 • 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 Greenwich CT 01/1997 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Canaan CT 01/1997 Present
Bank Of America, N.A. New Canaan CT 07/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-20
S63 Uniform Securities Agent State Law Examination 1997-08-07
  • S66 Uniform Combined State Law Examination
    2003-03-20
  • S63 Uniform Securities Agent State Law Examination
    1997-08-07
Other Names
  • Brian E Keefe

View on SEC IAPD

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Other Offices

CITIGROUP GLOBAL MARKETS INC. · New Canaan, CT
MONECO ADVISORS · New Canaan, CT
LPL FINANCIAL LLC · NEW CANAAN, CT
NPLP MANAGEMENT · NEW CANAAN, CT
J.H. WHITNEY CAPITAL PARTNERS, LLC · NEW CANAAN, CT
CETERA INVESTMENT ADVISERS LLC · New Canaan, CT
ALEXANDER CAPITAL ADVISORS, LLC · NEW CANAAN, CT
GROWE CAPITAL ADVISORS, LLC · NEW CANAAN, CT

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