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Brian Mohan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clifton Park, NY

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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 2021-10-26
NY RA APPROVED 2021-04-19
CT RA APPROVED 2017-10-13
  • TX RA
    APPROVED_RES
    Since 2021-10-26
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2017-10-13

Branch Locations

449 Route 146, Clifton Park, NY 12065 • 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 Clifton Park NY 07/2017 Present
Albany College Of Pharmacy And Health Sciences Albany NY 10/2013 07/2017
Bank Of America, N.A. Clifton Park NY 01/2018 Present
Previous Registrations
  • 2010-10-15 → 2013-11-14
    Morgan Stanley
    Saratoga Springs, NY
    Saratoga Springs, NY
    Saratoga Springs, NY
    Saratoga Springs, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-12
S65 Uniform Investment Adviser Law Examination 2010-10-14
S63 Uniform Securities Agent State Law Examination 2006-12-12
  • S66 Uniform Combined State Law Examination
    2017-10-12
  • S65 Uniform Investment Adviser Law Examination
    2010-10-14
  • S63 Uniform Securities Agent State Law Examination
    2006-12-12
Other Names
  • Brian T Mohan
  • Brian Timothy Mohan

View on SEC IAPD

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Other Offices

KEY INVESTMENT SERVICES LLC · CLIFTON PARK, NY
CETERA INVESTMENT ADVISERS LLC · CLIFTON PARK, NY
OPTIMUS WEALTH MANAGEMENT GROUP, INC. · CLIFTON PARK, NY
PFS INVESTMENTS INC. · CLIFTON PARK, NY
BANKERS LIFE ADVISORY SERVICES, INC. · Clifton Park, NY
CETERA INVESTMENT ADVISERS LLC · CLIFTON PARK, NY
OSAIC WEALTH, INC. · CLIFTON PARK, NY
CETERA INVESTMENT ADVISERS LLC · CLIFTON PARK, NY

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