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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_RES 2025-01-02
VA RA APPROVED 2024-12-18
  • TX RA
    APPROVED_RES
    Since 2025-01-02
  • VA RA
    APPROVED
    Since 2024-12-18

Branch Locations

910 Princess Anne St, Fredericksburg, VA 22401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mb Sports Fredericksburg VA 06/1998 07/2023
Thrivent Investment Management Inc Minneapolis MN 02/2024 10/2024
Self Employed Fredericksburg VA 08/2023 01/2024
Thrivent Financial Appleton WI 08/2024 10/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fredericksburg VA 10/2024 Present
New York Life Vienna VA 07/2023 01/2024
Bank Of America, N.A. Fredericksburg VA 01/2025 Present
  • 06/1998 → 07/2023
    Mb Sports
    Fredericksburg, VA
  • 02/2024 → 10/2024
    Minneapolis, MN
  • 08/2023 → 01/2024
    Self Employed
    Fredericksburg, VA
  • 08/2024 → 10/2024
    Thrivent Financial
    Appleton, WI
  • 10/2024 → Present
    Fredericksburg, VA
  • 07/2023 → 01/2024
    New York Life
    Vienna, VA
  • 01/2025 → Present
    Bank Of America, N.A.
    Fredericksburg, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-05
  • S66 Uniform Combined State Law Examination
    2024-07-05
Other Names
  • Michael Lee Brooks
  • Michael Brooks

View on SEC IAPD

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