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Clinton Brooker Factor

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hilton Head Island, SC

Florham Park, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2020-12-03
NJ RA APPROVED 2003-01-27
TX RA APPROVED_RES 2001-01-03
  • SC RA
    APPROVED
    Since 2020-12-03
  • NJ RA
    APPROVED
    Since 2003-01-27
  • TX RA
    APPROVED_RES
    Since 2001-01-03

Branch Locations

21 Hatton Pl, Hilton Head Island, SC 29926 • United States

100 Campus Dr, Florham Park, NJ 07932 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America,N.A. Florham Park NJ 06/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 09/1993 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-05
S63 Uniform Securities Agent State Law Examination 1995-03-14
  • S65 Uniform Investment Adviser Law Examination
    1996-02-05
  • S63 Uniform Securities Agent State Law Examination
    1995-03-14
Other Names
  • Clinton B Factor
  • Clinton Brooker Factor
  • Clinton W Factor

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HILTON HEAD, SC
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