Brien Holt Mattingly

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2015 → 11/2016
  Wells Fargo Advisors, Llc
  Denver, CO
• 11/2016 → 10/2018
  Wells Fargo Clearing Services, Llc
  Denver, CO
• 10/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boulder, CO
• 11/2018 → Present
  Bank Of America, N.A.
  Boulder, CO

Previous Registrations

• 2015-07-17 → 2018-10-22
  Wells Fargo Clearing Services, Llc
  Denver, CO
• 2011-09-16 → 2015-07-21
  Equitable Advisors, Llc
  Lakewood, CO
  Denver, CO
  Lakewood, CO

Exams

• S66 Uniform Combined State Law Examination
  2011-08-31

Other Names

• Brien Mattingly
• Brien Holt Mattingly
• Brien H. Mattingly