Best Investors Account Sign in

Walton Edward Brown

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA

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

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-01-23
CA RA APPROVED 2015-09-23
  • IL RA
    APPROVED
    Since 2025-01-23
  • CA RA
    APPROVED
    Since 2015-09-23

Branch Locations

1111 Broadway, Oakland, CA 94607 • 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 Oakland CA 08/2015 Present
Bank Of America, N.A. Oakland CA 01/2016 Present
Previous Registrations
  • 2013-01-03 → 2013-12-31
    Carmichael Brown Wealth Management
    Oakland, CA
  • 2002-05-15 → 2004-08-09
    Charles Schwab & Co., Inc.
    CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-07-18
S65 Uniform Investment Adviser Law Examination 2012-09-05
S66 Uniform Combined State Law Examination 1999-03-05
  • S63 Uniform Securities Agent State Law Examination
    2014-07-18
  • S65 Uniform Investment Adviser Law Examination
    2012-09-05
  • S66 Uniform Combined State Law Examination
    1999-03-05
Other Names
  • Buzz Brown
  • Walton E Brown
  • Walton E Brown
  • Walton Edward Brown
  • Walton E Walton
  • Walton Edward Brown
  • Walton Edward Brown
  • Walton Edward Brown

View on SEC IAPD

Other Firms

INFINITY FINANCIAL SERVICES ADVISORY
CETERA INVESTMENT ADVISERS LLC
HOODOO
STATE FARM INVESTMENT MANAGEMENT CORP.
FM CAPITAL GROUP
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC
FINANCIAL AVENGERS, INC.
ADITUM BIO MANAGEMENT COMPANY, LLC

Other Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
Randall w Silvey

Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

More in Oakland, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor