Jonathon Frank Brauer

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:

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	2011-08-16
CA	RA	APPROVED	1999-09-13

TX RA
APPROVED_RES

Since 2011-08-16
CA RA
APPROVED

Since 1999-09-13

Branch Locations

Venice, CA • United States

100 Wilshire Blvd, Santa Monica, CA 90401 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Los Angeles	CA	03/1999	Present
Bank Of America,Na	Santa Monica	CA	09/2009	Present

03/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA
09/2009 → Present

Bank Of America,Na

Santa Monica, CA

Other Businesses

I*77981 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BRAUER INTERNATIONAL PICTURES COMPANY, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: PACIFIC PALISADES, CALIFORNIA 90272 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 1/1/1974 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IT IS/WAS A MOTION PICTURE AND TELEVISION PRODUCTION COMPANY THAT CONTINUES TO OWN RIGHTS IN AND TO A LIBRARY OF PRODUCED FILMS AND SHOWS. For profit or not for profit: For-Profit Organization Name of outside business organization: Brauer International Pictures, Inc. Investment related: Address of business: Pacific Palisades, CA 90272 Nature of business: Position, title, association: , Start date of relationship: 1/1/1975 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: film and television production I*2090264, Entity Type: Fiduciary, Name of OBA: B Family Trust , Address: Pacific Palisades, California, 90272, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 22-Sep-2024, No Hours: 5 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2086313, Entity Type: Fiduciary, Name of OBA: B Family Trust u/a Aug. 11,1982, Address: Pacific Palisades, California, 90272, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 22-Sep-2024, No Hours: 5 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-07-09

S66 Uniform Combined State Law Examination

1999-07-09

Other Names

Jonathan F Brauer

View on SEC IAPD