Brian James Heffern

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-23
MD	RA	APPROVED	2017-10-30

TX RA
APPROVED_RES

Since 2019-08-23
MD RA
APPROVED

Since 2017-10-30

Branch Locations

11333 Mccormick Rd Ci Client Management, Hunt Valley, MD 21031 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valley	MD	07/2017	Present
Finra	Rockville	MD	06/2004	05/2017
Unemployed	Gaithersburg	MD	06/2017	06/2017
Bank Of America, N.A.	Hunt Valley	MD	07/2019	Present

07/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD
06/2004 → 05/2017

Finra

Rockville, MD
06/2017 → 06/2017

Unemployed

Gaithersburg, MD
07/2019 → Present

Bank Of America, N.A.

Hunt Valley, MD

Previous Registrations

2003-04-22 → 2004-07-02

Prudential Retirement Brokerage Services, Inc.

Hartford, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-20
S63	Uniform Securities Agent State Law Examination	2003-05-02

S66 Uniform Combined State Law Examination

2017-10-20
S63 Uniform Securities Agent State Law Examination

2003-05-02

Other Names

Brian J Heffern
Brian James Heffern
Brian Heffern

View on SEC IAPD

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Other Investors

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Jack Richard Sweiderk

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Cristina Polvinale Kothari

JOHN LUKE CHARLTON

Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD

ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD

GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD

MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD

BUSH RIVER TRUST, LLC · HUNT VALLEY, MD

OSAIC WEALTH, INC. · HUNT VALLEY, MD

INDEPENDENT FINANCIAL PARTNERS · Hunt Valley, MD

AE WEALTH MANAGEMENT, LLC · Hunt Valley, MD

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