David James Briones
Investment Adviser Representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
David James Briones is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Capitola, CA, where they have been registered since 2025. They have worked in the securities industry since 2022 and were previously registered with U.S. Bancorp Investments, Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and Texas.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
7 states and territories
Arizona, California, Florida, Nevada, Oregon, Texas, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- U.S. BankAug 2018 – Aug 2022San Jose, CA
- U.S. Bancorp Investments, Inc.Aug 2022 – Oct 2024San Jose, CA
- Fox Rent-A-CarOct 2017 – Aug 2018San Jose, CA
- Audi OaklandFeb 2017 – Oct 2017Oakland, CA
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2024 – no end date reportedSanta Cruz, CA
- San Jose City CollegeJan 2018 – May 2018San Jose, CA
- Sunnyvale Ford LincolnAug 2016 – Feb 2017Sunnyvale, CA
- Bank of America, N.A.Jan 2025 – no end date reportedSanta Cruz, CA
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merrill Lynch, Pierce, Fenner & Smith Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Small Business 401(k) plans including Group 401(k) and Individual 401(k), SEP IRA, SIMPLE IRA, investment fiduciary services, recordkeeping, trading, custodial and financial wellness services, and call center educational support for employees.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 25,472
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-14235
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David James Briones 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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