Brian J. Drum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Joseph Drum was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2013 - April 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2013 - April 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - June 18, 2013
MORGAN STANLEY
June 1, 2009 - June 18, 2013
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 2, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 22, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 18, 1994 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 18, 1994 - September 27, 2000
EQUITABLE ADVISORS, LLC
August 18, 1993 - April 21, 1994
UBS FINANCIAL SERVICES INC.
May 21, 1993 - August 10, 1993
LADENBURG THALMANN & CO. INC.
November 12, 1990 - October 18, 1991
JJC SECURITIES CO., INC.
September 1, 1989 - April 6, 1990
ROTAN MOSLE INC.
October 17, 1988 - August 1, 1989
LEHMAN BROTHERS INC.
November 12, 1987 - May 18, 1988
FINANCIAL SQUARE PARTNERS
August 20, 1985 - August 7, 1986
ROONEY, PACE INC.
March 19, 1985 - August 1, 1989
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
