Brian D Massingale

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2012-06-29
TX	RA	APPROVED_RES	2002-02-20

CA RA
APPROVED

Since 2012-06-29
TX RA
APPROVED_RES

Since 2002-02-20

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Sun City	AZ	03/1992	Present
Bank Of America, N.A.	Sun City	AZ	07/2011	Present

03/1992 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sun City, AZ
07/2011 → Present

Bank Of America, N.A.

Sun City, AZ

Other Businesses

I*3945268 Entity Type: N/A Name of OBA: B D M TTEE M L M TTEE U/A DTD 06/07/2006 Address: Phoenix, Arizona, 85018 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 03/13/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Spouse

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-04
S63	Uniform Securities Agent State Law Examination	1990-05-25

S65 Uniform Investment Adviser Law Examination

1994-10-04
S63 Uniform Securities Agent State Law Examination

1990-05-25

Other Names

Brian D Massingale
Brian Douglas Massingale

View on SEC IAPD