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AM

Ariel Merrick

BROWN BROTHERS HARRIMAN INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 7095551
AM

Professional summary

Ariel Merrick, who also goes by Ariel Merrick, is a registered financial professional currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York.

Ariel is registered as a RR (Registered Representative) and started their career in finance in 2019. Ariel has worked at 2 firms and has passed the Series 63, Series 7TO, Series 3 and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ariel Merrick

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ariel Merrick's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 11, 2026 - Present

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

Office #1: 140 Broadway, New York, NY 10005
BD
CRD#: 282732
New York, NY
Past

November 12, 2019 - October 18, 2024

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/11/2026)
RR
Alaska
(5/11/2026)
RR
Arizona
(5/11/2026)
RR
Arkansas
(5/11/2026)
RR
California
(5/11/2026)
RR
Colorado
(5/11/2026)
RR
Connecticut
(5/11/2026)
RR
Delaware
(5/11/2026)
RR
District of Columbia
(5/11/2026)
RR
Florida
(5/11/2026)
RR
Georgia
(5/11/2026)
RR
Hawaii
(5/11/2026)
RR
Idaho
(5/11/2026)
RR
Illinois
(5/11/2026)
RR
Indiana
(5/11/2026)
RR
Iowa
(5/11/2026)
RR
Kansas
(5/11/2026)
RR
Kentucky
(5/11/2026)
RR
Louisiana
(5/11/2026)
RR
Maine
(5/11/2026)
RR
Maryland
(5/11/2026)
RR
Massachusetts
(5/11/2026)
RR
Michigan
(5/11/2026)
RR
Minnesota
(5/11/2026)
RR
Mississippi
(5/11/2026)
RR
Missouri
(5/11/2026)
RR
Montana
(5/11/2026)
RR
Nebraska
(5/11/2026)
RR
Nevada
(5/11/2026)
RR
New Hampshire
(5/11/2026)
RR
New Jersey
(5/11/2026)
RR
New Mexico
(5/11/2026)
RR
New York
(5/11/2026)
RR
North Carolina
(5/11/2026)
RR
North Dakota
(5/11/2026)
RR
Ohio
(5/11/2026)
RR
Oklahoma
(5/11/2026)
RR
Oregon
(5/11/2026)
RR
Pennsylvania
(5/11/2026)
RR
Puerto Rico
(5/11/2026)
RR
Rhode Island
(5/11/2026)
RR
South Carolina
(5/11/2026)
RR
South Dakota
(5/11/2026)
RR
Tennessee
(5/11/2026)
RR
Texas
(5/11/2026)
RR
Utah
(5/11/2026)
RR
Vermont
(5/11/2026)
RR
Virgin Islands
(5/11/2026)
RR
Virginia
(5/11/2026)
RR
Washington
(5/11/2026)
RR
West Virginia
(5/11/2026)
RR
Wisconsin
(5/11/2026)
RR
Wyoming
(5/11/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/12/2019
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/4/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BB
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732 / SEC#: , 8-69731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
140 Broadway, New York, NY 10005-1108
Mailing Address
140 Broadway, New York, NY 10005-1108
Phone number
(212) 483-1818
Established
Delaware since 11/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BROWN BROTHERS HARRIMAN & CO.SOLE MEMBER
CARLOTTI, VALENTINO DINODIRECTOR1968608
GREIFENKAMP, DANIEL JOSEPHCEO, CHAIRMAN OF THE BOARD2180478
HUTSON, JOSHUA EYARECCO2912952
KRUCZEK, ROBERT PATRICKDIRECTOR2389311
KRUGER, THOMAS JOHNDIRECTOR5847869
MESKIN, JEFFREY BRYANDIRECTOR2855280
PUSTORINO, PAUL JAMESPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER5059093
WARNER, PHILIP WDIRECTOR4251044

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.

Company Information

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732New York, NY 10005

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