AdFi
MB

Michael Brooks

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

Fredericksburg, VACRD #4555034Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
3 yrs
States Registered
5 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
District of ColumbiaMarylandNorth CarolinaTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 7/5/2024
Series 7
General Securities Representative Examination
Passed 6/4/2024
SIE
Securities Industry Essentials Examination
Passed 9/19/2023
Series 7
General Securities Representative Examination
Passed 1/31/2003

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
12/18/2024Fredericksburg, VA
THRIVENT INVESTMENT MANAGEMENT INC.
7/23/202410/29/2024Fredericksburg, VA
AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
9/22/20034/26/2004Centreville, VA

Official records & sources

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

Other advisors at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Showing 12 of 25660 in the directory

View MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED firm profile
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. Michael Brooks 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.

Michael Brooks - Financial Advisor in Fredericksburg, VA | AdvisorFinder