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Brody Neville Wise

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-05
TX RA APPROVED 2021-09-10
  • NC RA
    APPROVED
    Since 2024-11-05
  • TX RA
    APPROVED
    Since 2021-09-10

Branch Locations

401 N Tryon St Ci Relationship Management, Charlotte, NC 28255 • 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
Mass Mutual Life Insurance Co Warwick RI 10/2019 06/2021
Mml Investors Services, Llc Warwick RI 11/2019 06/2021
Two Ten Oyster Bar South Kingston RI 05/2016 09/2019
University Of Rhode Island Kingston RI 08/2013 12/2019
The Town Dock Narragansett RI 06/2015 06/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 06/2021 Present
Bank Of America, N.A. Lincoln RI 09/2021 Present
  • 10/2019 → 06/2021
    Mass Mutual Life Insurance Co
    Warwick, RI
  • 11/2019 → 06/2021
    Mml Investors Services, Llc
    Warwick, RI
  • 05/2016 → 09/2019
    Two Ten Oyster Bar
    South Kingston, RI
  • 08/2013 → 12/2019
    University Of Rhode Island
    Kingston, RI
  • 06/2015 → 06/2021
    The Town Dock
    Narragansett, RI
  • 06/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lincoln, RI
  • 09/2021 → Present
    Bank Of America, N.A.
    Lincoln, RI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-23
  • S66 Uniform Combined State Law Examination
    2020-11-23
Other Names
  • Brody Wise
  • Brody Neville Wise

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
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