Brian J Heins

CRD 1706358 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Brian John Heins

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 3Series 7Series 9Series 10Series 65Series 63
Registered states (14): California · Connecticut · Florida · Illinois · Indiana · Massachusetts · New Jersey · New York · North Carolina · Pennsylvania · Texas · Utah · Virginia · Washington
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (17)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
New York, NY · IA capacity

May 28, 2010 → Mar 1, 2017
Wells Fargo Clearing Services, LLC
New York, NY · BC capacity

May 28, 2010 → Mar 1, 2017
Morgan Stanley Smith Barney LLC
New York, NY · IA capacity

Jun 1, 2009 → Jun 9, 2010
Morgan Stanley Smith Barney
New York, NY · BC capacity

Jun 1, 2009 → Jun 9, 2010
Morgan Stanley & Co. Incorporated
New York, NY · IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
New York, NY · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
New York, NY · IA capacity

Jun 20, 2006 → Apr 2, 2007
Morgan Stanley Dw Inc.
New York, NY · BC capacity

Dec 19, 2003 → Apr 2, 2007
Citigroup Global Markets Inc.
New York, NY · BC capacity

Sep 30, 1997 → Jan 8, 2004
Painewebber Incorporated
Weehawken, NJ · BC capacity

Jan 28, 1995 → Sep 29, 1997
Kidder, Peabody & Co. Incorporated
New York, NY · BC capacity

Aug 27, 1993 → Jan 28, 1995
Corporate Securities Group, Inc.
St. Louis, MO · BC capacity

Mar 9, 1989 → Aug 23, 1989
Shearson Lehman Hutton Inc.
BC capacity

Jan 3, 1989 → Feb 1, 1989
Greentree Securities Corp.
BC capacity

Jan 4, 1988 → Dec 13, 1988
Brooks Weinger Robbins & Leeds Inc.
BC capacity

Aug 18, 1987 → Jan 19, 1988

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1706358 ↗ FINRA BrokerCheck record for CRD 1706358 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.