BN
Brian L. Nayler
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CRD#: 6007445
BN
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 L Nayler, who also goes by Brian Lawrence Nayler, Brian Nayler, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2012. Brian had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Lawrence Nayler | Brian Nayler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)I MANAGE THE INVESTMENT DECISIONS FOR MY SELF DIRECTED IRA, WHICH IS RUN OR MANAGED UNDER A NEVADA LLC. THE LLC IS CALLED ALLIER LLC WHICH HAS CHECK WRITING POWER OF THE INVESTMENT PORTFOLIO. I*64272 For profit or not for profit: For-Profit Organization Name of outside business organization: Allier LLC Investment related: Y Address of business: Sonoma, California 95476 Nature of business: LLC, Position, title, association: Director, Start date of relationship: 6/9/2005 Number of hours devoted: 40 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: The entity is 100% owned by the Self Direct IRA. I, Brian L. Nayler, have check writing power and management of the entity. The entity is for the exclusive use of the self direct IRA. I Brian L. Nayler personally manage the assets the entity holds. I*127353 For profit or not for profit: For-Profit Organization Name of outside business organization: Photo International (pending-not Trade Marked yet) Investment related: N Address of business: Phoenix, Arizona 85048 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 10/28/2019 Number of hours devoted: 40 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Photography: licensing on a rights usage basis in manufactured products and or in media usage weather print or online. I*127415 For profit or not for profit: For-Profit Organization Name of outside business organization: ORINA LLC Investment related: Y Address of business: Phoenix, Arizona 85048 Nature of business: LLC, Position, title, association: Fiduciary, Start date of relationship: 12/16/2019 Number of hours devoted: 40 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Orina LLC is owned by the Self Directed ROTH IRA, It will be used to render check writing power to purchase non-exchange assets or futures contracts exclusively for the ROTH IRA to use personal funds only. Personal funds were contributed to ROTH IRA
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 10, 2017 - July 13, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
July 18, 2013 - July 13, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
December 6, 2012 - June 19, 2013
PFS INVESTMENTS INC.
BD
CRD#: 10111
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
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.
