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David A Brooks

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Auburn, AL

Montgomery, AL

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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 2014-06-12
AL RA APPROVED 2012-10-26
  • TX RA
    APPROVED
    Since 2014-06-12
  • AL RA
    APPROVED
    Since 2012-10-26

Branch Locations

Auburn, AL • United States

4001 Carmichael Rd, Montgomery, AL 36106 • 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 Auburn AL 09/2012 Present
Bank Of America, N.A. Montgomery AL 02/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-10-25
S63 Uniform Securities Agent State Law Examination 2009-11-13
  • S65 Uniform Investment Adviser Law Examination
    2012-10-25
  • S63 Uniform Securities Agent State Law Examination
    2009-11-13
Other Names
  • David Alan Brooks
  • David Brooks
  • David Alan Brooks

View on SEC IAPD

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