Brad Roger Nettune

CRD 2866110 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Summit, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 63
Registered states (20): Arizona · California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Louisiana · Massachusetts · Minnesota · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Texas · Virginia · Washington
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2866110 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 (9)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Summit, NJ · BC capacity

start not retrieved → present
Morgan Stanley
Short Hills, NJ · IA capacity

Mar 2, 2012 → Sep 15, 2015
Morgan Stanley
Short Hills, NJ · BC capacity

Oct 28, 2011 → Sep 15, 2015
Ubs Financial Services Inc.
New York, NY · IA capacity

Sep 21, 2007 → Nov 25, 2011
Ubs Financial Services Inc.
New York, NY · BC capacity

Sep 21, 2007 → Nov 25, 2011
Bear, Stearns & Co. Inc.
New York, NY · IA capacity

Jun 20, 2006 → Oct 3, 2007
Bear, Stearns & Co. Inc.
New York, NY · BC capacity

Oct 18, 2001 → Oct 3, 2007
D. H. Blair & Co., Inc.
New York, NY · BC capacity

Apr 14, 1997 → Jul 21, 1997

Source & corrections

Where this page comes from

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