Best Investors Account Sign in

Brian Matthew Spencer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sewickley, PA

CRD 3221990

Claim This Profile
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

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-25
TX RA APPROVED_RES 2009-01-15
NJ RA APPROVED 2002-10-22
  • PA RA
    APPROVED
    Since 2010-06-25
  • TX RA
    APPROVED_RES
    Since 2009-01-15
  • NJ RA
    APPROVED
    Since 2002-10-22

Branch Locations

417 Thorn St, Sewickley, PA 15143 • 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
Merrill Lynch Sewickley PA 08/2002 Present
  • 08/2002 → Present
    Merrill Lynch
    Sewickley, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-16
S65 Uniform Investment Adviser Law Examination 2000-11-13
  • S66 Uniform Combined State Law Examination
    2001-01-16
  • S65 Uniform Investment Adviser Law Examination
    2000-11-13

View on SEC IAPD

Nearby Firms

JMS CAPITAL GROUP WEALTH SERVICES, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
SCHENLEY CAPITAL, INC

Nearby Investors

SCOTT WILLIAM MILLER
MELISSA TSAGGARIS CORSO
JOHN MARTIN SCHNEIDER

Nearby Offices

JMS CAPITAL GROUP WEALTH SERVICES, LLC · SEWICKLEY, PA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SEWICKLEY, PA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Sewickley, PA

More in Sewickley, PA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor