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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Brian Paul Klein

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MIAMI, FL | MCKINNEY, TX

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Search this name across graphsid dfx:ria:2e38e8c4-373b-ff67-328a-ddadc85d3065

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 21, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 21, 2000
First registration: Sep 20, 2004
Dual registered: yes, broker-dealer
Other names: BRIAN PAUL KLEIN|Brian Klein
IAPD individual key: 3153347

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 27, 2019	n/a	yes	MIAMI, FL\|MCKINNEY, TX	Current employment
BB&T SECURITIES, LLC	Former SEC adviser	Mar 14, 2018	Mar 4, 2019	no	BOCA RATON, FL\|FT LAUDERDALE, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 21, 2015	Mar 12, 2018	no	BOCA RATON, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jul 30, 2013	Apr 27, 2015	no	BOCA RATON, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 24, 2008	Jul 25, 2013	no	Miami, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Dec 13, 2007	no	CORAL SPRINGS, FL	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Sep 20, 2004	May 29, 2007	no	MIAMI, FL\|MIAMI, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BB&T SECURITIES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 4, 2019	Mar 27, 2019	23	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	BB&T SECURITIES, LLC	Mar 12, 2018	Mar 14, 2018	2	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Apr 27, 2015	Apr 21, 2015	-6	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jul 25, 2013	Jul 30, 2013	5	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:19616:FL:2015-04-14	Apr 27, 2015	Apr 21, 2015	BOCA RATON, FL	Firm change

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Mar 27, 2019 to presentfactForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 14, 2018 to Mar 4, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 21, 2015 to Mar 12, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 30, 2013 to Apr 27, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 24, 2008 to Jul 25, 2013factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Sep 20, 2004 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.