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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TEMECULA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 3, 2018 | n/a | yes | TEMECULA, CA | Current employment |
| CLG LLC | Independent wealth | Mar 2, 2017 | Dec 14, 2017 | no | Gardena, CA | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Oct 27, 2016 | Dec 12, 2017 | no | LONG BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CLG LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Dec 14, 2017 | Jan 3, 2018 | 20 | Firm change | RIA to wirehouse |
| CETERA ADVISOR NETWORKS LLC | CLG LLC | Dec 12, 2017 | Mar 2, 2017 | -285 | Firm change after gap | Other |