D. Clarke Browne

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2017-03-06
TX	RA	APPROVED_RES	2014-05-21
NC	RA	APPROVED	2013-10-25

MD RA
APPROVED

Since 2017-03-06
TX RA
APPROVED_RES

Since 2014-05-21
NC RA
APPROVED

Since 2013-10-25

Branch Locations

11333 Mccormick Rd, Hunt Valley, MD 21031 • 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	Charlotte	NC	10/2013	Present
Bank Of America, N.A.	Charlotte	NC	11/2013	Present

10/2013 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC
11/2013 → Present

Bank Of America, N.A.

Charlotte, NC

Previous Registrations

2013-02-13 → 2013-10-21

Raymond James & Associates, Inc.

Charlotte, NC
2011-07-27 → 2013-02-13

Morgan Keegan & Company, Llc

Charlotte, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-07-26
S63	Uniform Securities Agent State Law Examination	2011-07-02

S65 Uniform Investment Adviser Law Examination

2011-07-26
S63 Uniform Securities Agent State Law Examination

2011-07-02

Other Names

Clarke Finney Browne
D Clarke Finney Browne
Daniel C Finney Browne
Daniel Clarke Finney Browne
Daniel Clarke Browne

View on SEC IAPD

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BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD

ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD

GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD

MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD

BUSH RIVER TRUST, LLC · HUNT VALLEY, MD

OSAIC WEALTH, INC. · HUNT VALLEY, MD

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