Brett Andrew Peterson

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
RI	RA	APPROVED	2018-03-22
CT	RA	APPROVED	2016-11-18

TX RA
APPROVED_RES

Since 2019-08-23
RI RA
APPROVED

Since 2018-03-22
CT RA
APPROVED

Since 2016-11-18

Branch Locations

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Griswold, CT • United States

Disclosures

1 disclosure category 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 No
Bankruptcy Yes
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	New London	CT	08/2016	Present
Bank Of America, N.A.	New London	CT	01/2017	Present

08/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New London, CT
01/2017 → Present

Bank Of America, N.A.

New London, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-11-17

S66 Uniform Combined State Law Examination

2016-11-17

Other Names