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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2020-10-09
PA RA APPROVED 2017-06-20
DE RA APPROVED 2017-03-02
TX RA APPROVED_RES 2017-03-01
  • MD RA
    APPROVED
    Since 2020-10-09
  • PA RA
    APPROVED
    Since 2017-06-20
  • DE RA
    APPROVED
    Since 2017-03-02
  • TX RA
    APPROVED_RES
    Since 2017-03-01

Branch Locations

2074 Limestone Rd, Wilmington, DE 19808 • 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
Pnc Bank Newark DE 05/2014 02/2017
Pnc Investments Llc Pittsburgh PA 05/2014 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wilmington DE 02/2017 Present
Bank Of America, N.A. Wilmington DE 02/2017 Present
Previous Registrations
Other Businesses

I*130932 For profit or not for profit: For-Profit Organization Name of outside business organization: Published Author Investment related: N Address of business: Elkton, Maryland 21921 Nature of business: Corporation, Position, title, association: Other, Author Start date of relationship: 5/4/2020 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I have submitted a book of poetry for publishing. I will not be writing in my own name I will use the pen name of B.L. Matthews. The book has already been written and submitted, I don't believe I'll have any other tasks.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-17
S63 Uniform Securities Agent State Law Examination 2012-12-06
  • S65 Uniform Investment Adviser Law Examination
    2014-11-17
  • S63 Uniform Securities Agent State Law Examination
    2012-12-06
Other Names
  • Brooke M Slone
  • Brooke Marie Slone
  • Brooke Marie Slone
  • Brooke Marie Lebrun
  • Brooke Lebrun

View on SEC IAPD

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