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D. Clarke Browne

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

CRD 5908891

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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

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 10/2013 Present
Bank Of America, N.A. Charlotte NC 11/2013 Present
Previous Registrations
Exams
CodeExamDate
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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