Matthew Lake Brown

CRD 2814498 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Lisle, IL

IA RegisteredBroker

Also appears in the source record as: Matthew L Brown; Matthew Brown

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 24SIESeries 7
Registered states (40): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 30
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 (20)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Lisle, IL · IA capacity

Jun 6, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Lisle, IL · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Sep 30, 2022 → Jun 4, 2024
Morgan Stanley
IA capacity

Sep 30, 2022 → Jun 4, 2024
Iht Wealth Management LLC
IA capacity

Jan 24, 2020 → Oct 4, 2022
Lpl Financial LLC
BD capacity

Jan 17, 2020 → Sep 26, 2022
The Huntington Investment Company
BD capacity

Apr 30, 2018 → Jan 21, 2020
Huntington Financial Advisors
IA capacity

Apr 30, 2018 → Jan 21, 2020
Lpl Financial LLC
IA capacity

Jan 17, 2020 → Jan 17, 2020
Scottrade Investment Management
IA capacity

Nov 17, 2016 → Mar 8, 2018
Scottrade, Inc.
BD capacity

Feb 10, 2014 → Mar 8, 2018
Pnc Investments
IA capacity

Jun 7, 2013 → Feb 18, 2014
Pnc Investments
BD capacity

May 7, 2013 → Feb 18, 2014
Country Capital Management Company
BD capacity

Sep 20, 2012 → Apr 26, 2013
Chase Investment Services Corp.
BD capacity

Jul 6, 2005 → Sep 18, 2012
Banc One Securities Corporation
BD capacity

Aug 16, 2002 → Jul 6, 2005
Mr. Stock, Inc.
BD capacity

Oct 27, 2000 → Aug 5, 2002
Firstar Investment Services,inc.
BD capacity

May 11, 1998 → Nov 2, 2000
A. G. Edwards & Sons, Inc.
BD capacity

Feb 26, 1997 → Mar 27, 1998
Chatfield Dean & Co., Inc.
BD capacity

Dec 5, 1996 → Jan 22, 1997

Source & corrections

Where this page comes from

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