Brian Paul Klein

CRD 3153347 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Brian Klein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 52TOSIESeries 3Series 55Series 7Series 10Series 9Series 53Series 24Series 65Series 63
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): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3153347 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Miami, FL · IA capacity

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

start not retrieved → present
Bb&t Securities, LLC
Boca Raton, FL · IA capacity

Mar 14, 2018 → Mar 4, 2019
Bb&t Securities, LLC
Boca Raton, FL · BC capacity

Mar 13, 2018 → Mar 4, 2019
Wells Fargo Clearing Services, LLC
Boca Raton, FL · IA capacity

Apr 21, 2015 → Mar 12, 2018
Wells Fargo Clearing Services, LLC
Boca Raton, FL · BC capacity

Apr 17, 2015 → Mar 12, 2018
Morgan Stanley
Boca Raton, FL · IA capacity

Jul 30, 2013 → Apr 27, 2015
Morgan Stanley
Boca Raton, FL · BC capacity

Jul 29, 2013 → Apr 27, 2015
Citigroup Global Markets Inc.
Miami, FL · IA capacity

Sep 24, 2008 → Jul 25, 2013
Citigroup Global Markets Inc.
Miami, FL · BC capacity

Sep 4, 2008 → Jul 25, 2013
Northwestern Mutual Investment Services, LLC
Fort Lauderdale, FL · BC capacity

Jan 3, 2008 → Aug 11, 2008
Citicorp Investment Services
Miami, FL · IA capacity

Sep 20, 2004 → May 29, 2007
Citicorp Investment Services
Miami, FL · BC capacity

Sep 19, 2003 → May 29, 2007
Signator Investors, Inc.
Boston, MA · BC capacity

Nov 13, 2002 → Sep 22, 2003
Schonfeld Securities, LLC
Jericho, NY · BC capacity

Jan 31, 2002 → Sep 24, 2002
Navillus Securities, Inc.
West Conshohocken, PA · BC capacity

Aug 2, 2000 → Oct 2, 2001

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 3153347 ↗ FINRA BrokerCheck record for CRD 3153347 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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