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Brooks David Chavez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albuquerque, NM

New York, 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
NM RA APPROVED 2022-09-30
TX RA APPROVED 2022-09-14
  • NM RA
    APPROVED
    Since 2022-09-30
  • TX RA
    APPROVED
    Since 2022-09-14

Branch Locations

2125 Louisiana Blvd, Albuquerque, NM 87110 • United States

One Bryant Park, New York, NY 10036 • 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 Albuquerque, NM 08/2021 Present
Bank Of America Austin TX 04/2020 08/2021
Cardinal Group Management San Marcos TX 07/2017 04/2020
Capstone Collegiate Communities San Marcos TX 05/2014 07/2017
Texas State University San Marcos TX 08/2017 12/2019
  • 08/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Albuquerque,, NM
  • 04/2020 → 08/2021
    Bank Of America
    Austin, TX
  • 07/2017 → 04/2020
    Cardinal Group Management
    San Marcos, TX
  • 05/2014 → 07/2017
    Capstone Collegiate Communities
    San Marcos, TX
  • 08/2017 → 12/2019
    Texas State University
    San Marcos, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-29
  • S66 Uniform Combined State Law Examination
    2022-08-29
Other Names
  • Brooks Chavez

View on SEC IAPD

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Other Offices

AAN WEALTH ADVISORS LLC · Albuquerque, NM
DXD CAPITAL · ALBUQUERQUE, NM
ALLWORTH FINANCIAL, L.P. · ALBUQUERQUE, NM
EDWARD JONES · ALBUQUERQUE, NM
ZANETTI FINANCIAL, LLC · ALBUQUERQUE, NM
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · ALBUQUERQUE, NM
AMERIPRISE FINANCIAL SERVICES, LLC · ALBUQUERQUE, NM
LPL FINANCIAL LLC · ALBUQUERQUE, NM

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