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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ATLANTA, GA | Cincinnati, OH
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 | Apr 16, 2020 | n/a | yes | Cincinnati, OH|ATLANTA, GA | Current employment |
| NUVEEN ASSET MANAGEMENT, LLC | Mixed wealth | Sep 1, 2011 | Jan 21, 2020 | no | CHICAGO, IL | Previous registration |
| NUVEEN FUND ADVISORS, LLC | Asset manager | Apr 16, 2008 | Sep 1, 2011 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NUVEEN ASSET MANAGEMENT, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 21, 2020 | Apr 16, 2020 | 86 | Firm change | RIA to wirehouse |
| NUVEEN FUND ADVISORS, LLC | NUVEEN ASSET MANAGEMENT, LLC | Sep 1, 2011 | Sep 1, 2011 | 0 | Bulk transfer | Other |