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Bryan Robert Smith

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Westport, CTCRD #2998099Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Connecticut
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/28/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 5/13/2002
Series 57
Securities Trader Exam
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 5/17/2005
Series 7
General Securities Representative Examination
Passed 4/10/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
4/24/2017Westport, CT
PARK AVENUE SECURITIES LLC
6/7/20163/16/2017Rye Brook, NY
SUSQUEHANNA FINANCIAL GROUP, LLLP
7/22/20092/23/2016New York, NY
SIGNAL HILL CAPITAL GROUP LLC
7/29/20087/22/2009Baltimore, MD
WACHOVIA CAPITAL MARKETS, LLC
3/20/20065/20/2008New York, NY
THOMAS WEISEL PARTNERS LLC
4/11/20013/13/2006San Francisco, CA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Bryan Robert Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Bryan Robert Smith - Financial Advisor in Westport, CT | AdvisorFinder