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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-10-30
  • CT RA
    APPROVED
    Since 2009-10-30

Branch Locations

2221 Washington St Ste 300, Newton, MA 02462 • United States

One Bryant Park, New York, NY 10036 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Norwood MA 10/2009 Present
Bank Of America,N.A. Newton MA 06/2011 Present
Previous Registrations
  • 2008-05-14 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Newton, MA
    Norwood, MA
  • 2007-02-07 → 2008-05-09
    Natick, MA
    Allston, MA
    Wellesley, MA
    Chestnut Hill, MA
    Wellesley, MA
    Natick, MA
    Brighton, MA
    Brighton, MA
    Watertown, MA
Other Businesses

I*99661FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: FRAMINGHAM STATE UNIVERSITY FOUNDATIONINVESTMENT RELATED: YADDRESS OF BUSINESS:FRAMINGHAM, MASSACHUSETTS 1701NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 2/15/2017NUMBER OF HOURS DEVOTED: 6 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: SERVES AS THE ORGANIZATION'S GOVERNING BODY AND HAS FIDUCIARY RESPONSIBILITY FOR THE ORGANIZATION. RESPONSIBILITIES INCLUDE:ATTEND MEETING, VOTE, AND ENSURE THAT POLICIES AND PROCESSES ARE CURRENT AND PROPERLY IMPLEMENTED I*3717268, Entity Type: Entity Charitable, Name of OBA: Northeast Geographical Information Society , Address: Boston, Massachusetts, 02125, Investment Related: N, Position, Title, Association: Treasurer, Employee Start Date: 11/17/2025, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties: As Treasurer I will be responsible for reconciling business checking account and report quarterly to board. Provide scholarships to college students that study Geographical Information Systems.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-19
S63 Uniform Securities Agent State Law Examination 1993-05-20
  • S65 Uniform Investment Adviser Law Examination
    2007-01-19
  • S63 Uniform Securities Agent State Law Examination
    1993-05-20
Other Names
  • Brian Robert Lannigan

View on SEC IAPD

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