Anthony Brookfield

CRD 2207841 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Anthony Patrick Brookfield; Tony Brookfield

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 3Series 7
Registered states (20): California · Colorado · Connecticut · Delaware · Florida · Idaho · Illinois · Michigan · Mississippi · Montana · New Jersey · North Carolina · Ohio · Oregon · South Carolina · South Dakota · Texas · Utah · Washington · Wyoming
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2207841 contains one or more disclosure events as of Aug 20, 2026.

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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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · IA capacity

Aug 28, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
BD capacity

Dec 3, 2015 → Sep 9, 2025
Ubs Financial Services Inc.
IA capacity

Dec 3, 2015 → Sep 9, 2025
Credit Suisse Securities (USA) LLC
BD capacity

Jun 22, 2006 → Dec 18, 2015
Credit Suisse Securities (USA) LLC
IA capacity

Jun 22, 2006 → Dec 18, 2015
Banc Of America Investment Services, Inc.
BD capacity

Nov 14, 2003 → Jun 22, 2006
Banc Of America Investment Services, Inc.
IA capacity

Nov 14, 2003 → Jun 22, 2006
Wells Fargo Investments, LLC
IA capacity

May 15, 2001 → Dec 2, 2003
Wells Fargo Investments, LLC
BD capacity

May 2, 2001 → Dec 2, 2003
Wells Fargo Securities Inc.
BD capacity

May 12, 1998 → May 2, 2001
Lehman Brothers Inc.
BD capacity

May 11, 1995 → Mar 24, 1998
Prime Charter Ltd.
BD capacity

Feb 25, 1993 → May 12, 1993
Lehman Brothers Inc.
BD capacity

Feb 12, 1992 → Mar 5, 1993

Source & corrections

Where this page comes from

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