David
Brooks

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#5600178
Investment Advisor
in Montgomery, AL

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About this Advisor

David Brooks is a financial advisor who works out of Montgomery, Alabama, who has been in the industry for 10 years. Brooks currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. Their career trajectory has included roles at Merrill Lynch, Pierce, Fenner & Smith Inc, The Vanguard Group Inc and Bank Of America, N.A. Brooks holds Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is approved to advise clients in Alabama and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is a financial advisory company that has its headquarters in Montgomery, Alabama. The firm has offices in 3,270 locations and a total of 36,383 financial advisors. It has $962 billion in assets under management between its 2,529,169 customer accounts, making it one of the largest financial advisory firms in the United States by assets under management. The firm advises 4,927 charities and foundations. Of its 2,529,169 accounts, just 7% are associated with high-net-worth individuals who have more than $1 million in assets. Merrill Lynch, Pierce, Fenner & Smith Inc has a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. Financial advisory fee schedules usually are based on which services the firm provides the client. However, fees charged by Merrill Lynch, Pierce, Fenner & Smith Inc most likely are comprised of any combination of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

No

Office Location

4001 Carmichael Rd
Montgomery, AL 36106

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$962,052,205,321

AL Average: $7,464,549,021
Total Number of Employees

36,383

AL Average: 88
Total Number of Accounts

2,529,169

AL Average: 3,892
Average Account Size

$380,383

AL Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

David Brooks Work History

David has 10 years of experience.

2013 - Present (8 years)

Bank Of America, N.A

2012 - Present (9 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2010 - 2012 (2 years)

The Vanguard Group Inc

Disclosures

David Brooks has no disclosures.

Please visit their SEC profile for more details.

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Jacob Church
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Ryan Harrison
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Aniello Iazzetta
Concord, CA
Chor-Shing Chan
New York, NY
Jeffrey Petersen
Vero Beach, FL
Michael Mason
Holly Springs, NC
Rayan Hamze
Chandler, AZ

This content was compiled from the SEC and FINRA.

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