Brian Joseph Thomas

CRD 2865999 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · West Des Moines, IA

IA RegisteredBroker

Also appears in the source record as: Brian Thomas

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 9Series 10SIESeries 7
Registered states (40): Alabama · Alaska · Arizona · Arkansas · California · Colorado · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 29
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Des Moines, IA · IA capacity

Feb 8, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Des Moines, IA · BC capacity

start not retrieved → present
U.S. Bancorp Investments, Inc.
IA capacity

Mar 16, 2005 → Feb 12, 2008
U.S. Bancorp Investments, Inc.
BD capacity

Dec 1, 2001 → Feb 12, 2008
U.S. Bancorp Asset Management, Inc.
IA capacity

Jan 16, 2002 → Nov 29, 2004
Firstar Investment Services,inc.
BD capacity

Jan 3, 2000 → Dec 1, 2001
Mercantile Investment Services, Inc.
BD capacity

Jan 14, 1998 → Jan 3, 2000
Mercantile Investment Services, Inc.
BD capacity

Dec 22, 1997 → Jan 13, 1998
Piper Jaffray Inc.
BD capacity

Apr 29, 1997 → Dec 22, 1997

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 2865999 ↗ FINRA BrokerCheck record for CRD 2865999 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. 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.