John Brzozowski

CRD 2381516 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Englishtown, NJ

IA RegisteredBroker

Also appears in the source record as: John Robert Brzozowski; John Roberts

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 7Series 6Series 55
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 33
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 (18)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Englishtown, NJ · IA capacity

Jul 5, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Englishtown, NJ · BC capacity

start not retrieved → present
Capital One Financial Advisors LLC
IA capacity

Jul 23, 2012 → Jun 10, 2013
Capital One Investment Services LLC
BD capacity

Jul 19, 2012 → Jun 10, 2013
Metlife Securities Inc.
IA capacity

Sep 23, 2011 → Dec 20, 2011
Metlife Securities Inc.
BD capacity

Oct 6, 2010 → Dec 20, 2011
Hsbc Securities (USA) Inc.
BD capacity

Jan 1, 2005 → Feb 20, 2007
Hsbc Brokerage (USA) Inc.
BD capacity

Jul 15, 2004 → Jan 1, 2005
Millennium Brokerage, L.L.C.
BD capacity

Jun 17, 2003 → Dec 2, 2003
A.B. Watley, Inc.
BD capacity

Sep 6, 2002 → Feb 19, 2003
Worldco, L.L.C.
BD capacity

Feb 26, 2002 → Sep 4, 2002
Fleet Securities, Inc.
BD capacity

Feb 2, 1998 → Oct 2, 2001
Nash, Weiss & Co.
BD capacity

Oct 14, 1997 → Feb 2, 1998
Nash, Weiss & Co.
BD capacity

May 23, 1997 → Oct 14, 1997
Mayer & Schweitzer, Inc.
BD capacity

Nov 8, 1996 → May 2, 1997
Spear, Leeds & Kellogg
BD capacity

Sep 26, 1995 → Sep 24, 1996
Ladenburg, Thalmann & Co., Inc.
BD capacity

Jul 30, 1994 → Jan 16, 1995
Americorp Securities, Inc.
BD capacity

Oct 12, 1993 → Dec 20, 1993

Source & corrections

Where this page comes from

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