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Adam Michael Brown

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

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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 2019-08-02
CA RA APPROVED 2019-06-21
  • TX RA
    APPROVED
    Since 2019-08-02
  • CA RA
    APPROVED
    Since 2019-06-21

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • 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 Westlake Village CA 03/2019 Present
Augusta Financial, Inc. Santa Clarita CA 03/2013 03/2019
Bank Of America, N.A. Westlake Village CA 05/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-20
  • S66 Uniform Combined State Law Examination
    2019-06-20
Other Names
  • Adam Brown

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA
CARMANDALIAN FINANCIAL GROUP, LLC · WESTLAKE VILLAGE, CA

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