Michael Brooks

CRD 4555034 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Fredericksburg, VA

IA RegisteredBroker

Also appears in the source record as: Michael Brooks; Michael Lee Brooks

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 7TOSIESeries 7
Registered states (4): Maryland · North Carolina · Texas · Virginia
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4555034 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
Fredericksburg, VA · IA capacity

Dec 18, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Fredericksburg, VA · BC capacity

start not retrieved → present
Thrivent Investment Management Inc.
IA capacity

Jul 23, 2024 → Oct 29, 2024
Thrivent Investment Management Inc.
BD capacity

Jun 5, 2024 → Oct 29, 2024
American Express Financial Advisors Inc.
BD capacity

Sep 22, 2003 → Apr 26, 2004
American Express Financial Advisors, Inc.
IA capacity

Sep 22, 2003 → Apr 26, 2004
Ids Life Insurance Company
BD capacity

Sep 22, 2003 → Jan 9, 2004
Ids Life Insurance Company
BD capacity

Feb 3, 2003 → Feb 12, 2003
American Express Financial Advisors Inc.
BD capacity

Feb 3, 2003 → Feb 12, 2003

Source & corrections

Where this page comes from

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