David Brawley, financial advisor Lincoln RI
93 score

David Brawley

CRD Number: 5493916
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Brawley (CRD# 5493916) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Lincoln, RI and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln, RI Jun 2014 - Current 2
Pionear Recruiting Charlotte, NC Feb 2014 - May 2014 < 1
Colonial Life Danvers, MA Nov 2012 - Apr 2014 1
Unemployed Norfolk, MA Oct 2012 - Oct 2012 < 1
New England Securities Boston, MA Apr 2011 - Sep 2012 1
Unemployed Norfolk, MA Nov 2010 - Mar 2011 < 1
Wachovia Securities, LLC Boston, MA Feb 2008 - Nov 2010 2
Wells Fargo Advisors Boston, MA Feb 2008 - Nov 2010 2
Philanthropic Strategic Planning Norfolk, MA Aug 2003 - Jan 2008 4
Dean College Franklin, MA Sep 2005 - Dec 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2008
Contact Info for David Brawley
Phone Number: 800-637-7455
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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