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John Lorenzo Brais

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

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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 2024-07-11
RI RA APPROVED 2024-07-08
  • TX RA
    APPROVED_RES
    Since 2024-07-11
  • RI RA
    APPROVED
    Since 2024-07-08

Branch Locations

3400 Pawtucket Ave Ci Client Services, Riverside, RI 02915 • 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 Lincoln RI 10/2009 06/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 10/2022 Present
Unemployed Lincoln RI 06/2021 10/2022
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-05
S63 Uniform Securities Agent State Law Examination 2006-05-24
  • S66 Uniform Combined State Law Examination
    2024-07-05
  • S63 Uniform Securities Agent State Law Examination
    2006-05-24
Other Names
  • John Lorenzo Brais
  • John Brais

View on SEC IAPD

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