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Brian Jude Tevenan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Barbara, CA

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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 2023-04-03
CA RA APPROVED 2010-07-12
  • TX RA
    APPROVED_RES
    Since 2023-04-03
  • CA RA
    APPROVED
    Since 2010-07-12

Branch Locations

1424 State St, Santa Barbara, CA 93101 • 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) Santa Barbara CA 07/2010 Present
Bank Of America, Na Westlake Village CA 07/2010 Present
  • 07/2010 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Santa Barbara, CA
  • 07/2010 → Present
    Bank Of America, Na
    Westlake Village, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-11
S63 Uniform Securities Agent State Law Examination 2004-09-28
  • S65 Uniform Investment Adviser Law Examination
    2004-10-11
  • S63 Uniform Securities Agent State Law Examination
    2004-09-28

View on SEC IAPD

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KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
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