Brian J Howe

CRD 4635919 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Jacksonville, FL

IA RegisteredBroker

Also appears in the source record as: Brian J Howe Mr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 31Series 7
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): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4635919 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:

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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 (10)

From the source registration record · current first

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

Dec 13, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Jacksonville, FL · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney LLC
IA capacity

Sep 18, 2009 → Oct 11, 2010
Morgan Stanley Smith Barney
BD capacity

Sep 14, 2009 → Oct 11, 2010
E*trade Capital Management, LLC
IA capacity

Apr 16, 2009 → Sep 4, 2009
E*trade Securities LLC
BD capacity

Apr 28, 2005 → Sep 4, 2009
Wachovia Securities, LLC
BD capacity

May 21, 2004 → Apr 25, 2005
Wachovia Securities, LLC
IA capacity

May 21, 2004 → Apr 25, 2005
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Jun 25, 2003 → Apr 30, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 22, 2003 → Apr 30, 2004

Source & corrections

Where this page comes from

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