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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

BRIAN J HOWE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JACKSONVILLE, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2003 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: Jun 25, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 14, 2009
First registration: Jun 25, 2003
Dual registered: yes, broker-dealer
Other names: BRIAN J HOWE|BRIAN J HOWE
IAPD individual key: 4635919

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	Dec 13, 2010	n/a	yes	JACKSONVILLE, FL	Current employment
MORGAN STANLEY	Wirehouse	Sep 18, 2009	Oct 11, 2010	no	Jacksonville, FL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Apr 16, 2009	Sep 4, 2009	no	ARLINGTON, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 21, 2004	Apr 25, 2005	no	ATLANTA, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 25, 2003	Apr 30, 2004	no	DAYTONA BEACH, 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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 11, 2010	Dec 13, 2010	63	Firm change	Wirehouse to wirehouse
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Sep 4, 2009	Sep 18, 2009	14	Firm change	Other
WELLS FARGO ADVISORS	E*TRADE CAPITAL MANAGEMENT, LLC	Apr 25, 2005	Apr 16, 2009	1,452	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Apr 30, 2004	May 21, 2004	21	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 25, 2003 to Apr 30, 2004factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 18, 2009 to Oct 11, 2010factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 16, 2009 to Sep 4, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 21, 2004 to Apr 25, 2005factForm ADV

Dated events

No dated event names this entity yet.