Best Investors Account Sign in

William Thomas Brownlow

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-07-15
CA RA APPROVED 2023-09-08
  • TX RA
    APPROVED_RES
    Since 2024-07-15
  • CA RA
    APPROVED
    Since 2023-09-08

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 05/2021 Present
Ediamond Tools Orange CA 04/2021 05/2021
Unemployed Fullerton CA 03/2020 04/2021
Electra Cruises Newport Beach CA 10/2018 03/2020
Full-Time Student Fullerton CA 08/2016 10/2018
  • 05/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newport Beach, CA
  • 04/2021 → 05/2021
    Ediamond Tools
    Orange, CA
  • 03/2020 → 04/2021
    Unemployed
    Fullerton, CA
  • 10/2018 → 03/2020
    Electra Cruises
    Newport Beach, CA
  • 08/2016 → 10/2018
    Full-Time Student
    Fullerton, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-28
  • S66 Uniform Combined State Law Examination
    2023-08-28

View on SEC IAPD

Other Firms

OKAPI CAPITAL, LLC
OCVC, LLC
MIG CAPITAL, LLC
RESEARCH AFFILIATES
PAAMCO PRISMA, LLC
COMPOSITION WEALTH, LLC
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

WILLIAM ERIC BLANTON
Travis L. Shirley
Michael Schanna
Rebekah A. Beekie
WILLIAM BENJAMIN SHAPIRO
Austin Mascorro
Bruce Lyle
Philip Pluta

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

More in Newport Beach, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor