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Brien Holt Mattingly

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fort Collins, CO

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2018-10-19
TX RA APPROVED 2018-10-19
  • CO RA
    APPROVED
    Since 2018-10-19
  • TX RA
    APPROVED
    Since 2018-10-19

Branch Locations

2950 E Harmony Rd, Fort Collins, CO 80528 • 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
Wells Fargo Advisors, Llc Denver CO 07/2015 11/2016
Wells Fargo Clearing Services, Llc Denver CO 11/2016 10/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boulder CO 10/2018 Present
Bank Of America, N.A. Boulder CO 11/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-31
  • S66 Uniform Combined State Law Examination
    2011-08-31
Other Names
  • Brien Mattingly
  • Brien Holt Mattingly
  • Brien H. Mattingly

View on SEC IAPD

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