BT

Brooke R Thompson

IAR
RR
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Brooke R Thompson is a registered financial advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in Chicago, Illinois.

Brooke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brooke has worked at 1 firm and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.

Disclosures
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Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.

Advisor Information

ADVISOR PROFILE
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (58)
Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming
RR
Alabama (12/11/2000)
RR
Alaska (1/4/2011)
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Arizona (1/4/2011)
RR
Arkansas (1/4/2011)
RR
California (1/4/2011)
RR
Colorado (1/4/2011)
RR
Connecticut (1/4/2011)
IAR
Connecticut (10/26/2015)
RR
Delaware (1/4/2011)
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District of Columbia (1/4/2011)
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Florida (1/4/2011)
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Georgia (1/4/2011)
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Hawaii (1/4/2011)
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Idaho (1/4/2011)
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Illinois (1/4/2011)
IAR
Illinois (2/6/2020)
RR
Indiana (1/4/2011)
IAR
Indiana (8/10/2017)
RR
Iowa (1/4/2011)
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Kansas (1/4/2011)
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Kentucky (1/4/2011)
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Louisiana (1/4/2011)
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Maine (1/4/2011)
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Maryland (1/4/2011)
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Massachusetts (1/4/2011)
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Michigan (1/4/2011)
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Minnesota (1/4/2011)
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Mississippi (1/4/2011)
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Missouri (1/4/2011)
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Montana (1/4/2011)
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Nebraska (1/4/2011)
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Nevada (1/4/2011)
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New Hampshire (1/4/2011)
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New Jersey (1/4/2011)
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New Mexico (1/4/2011)
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New York (1/4/2011)
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North Carolina (1/5/2011)
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North Dakota (1/4/2011)
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Ohio (1/5/2011)
IAR
Ohio (1/14/2015)
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Oklahoma (1/4/2011)
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Oregon (1/4/2011)
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Pennsylvania (1/4/2011)
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Puerto Rico (11/15/2011)
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Rhode Island (1/4/2011)
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South Carolina (1/4/2011)
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South Dakota (1/4/2011)
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Tennessee (1/4/2011)
IAR
Texas (6/3/2002)
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Texas (1/4/2011)
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Utah (1/4/2011)
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Vermont (1/4/2011)
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Virgin Islands (11/15/2011)
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Virginia (1/4/2011)
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Washington (1/4/2011)
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West Virginia (1/4/2011)
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Wisconsin (1/4/2011)
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Wyoming (1/4/2011)
SRO REGISTRATIONS (9)
RR
Cboe BYX Exchange, Inc. APPROVED
RR
Cboe BZX Exchange, Inc. APPROVED
RR
Cboe EDGA Exchange, Inc. APPROVED
RR
Cboe EDGX Exchange, Inc. APPROVED
RR
Cboe Exchange, Inc. APPROVED
RR
FINRA APPROVED
RR
Investors' Exchange LLC APPROVED
RR
Nasdaq Stock Market APPROVED
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New York Stock Exchange APPROVED

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYERS
RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (#7691)
110 N Wacker Dr, Chicago, IL, 60606
12/3/2001 - Current
BD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (#7691)
110 N Wacker Dr, Chicago, IL, 60606
11/2/2000 - Current
PREVIOUS EMPLOYER (0)
BT
Claim Profile

Brooke R Thompson

IAR
RR
Experience: 22 years / 1 firms
CRD#: 4218986


LOCATION
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As featured in USA Today
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