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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Stephen Daniel Grimes

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEWPORT BEACH, CA | CHANDLER, AZ

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Search this name across graphsid dfx:ria:07ab1cc7-059d-ad78-8181-4b134cf5026f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2004 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Mar 9, 1998
First registration: Jul 27, 2004
Dual registered: yes, broker-dealer
Other names: STEPHEN DANIEL GRIMES|Steve Grimes|Stephen Grimes
IAPD individual key: 2935524

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 6, 2018	n/a	yes	NEWPORT BEACH, CA\|CHANDLER, AZ	Current employment
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jan 27, 2017	Mar 8, 2018	no	SAINT LOUIS, MO	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 29, 2015	Oct 13, 2016	no	BERKELEY, CA\|EMERYVILLE, CA\|OAKLAND, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 6, 2008	Jun 3, 2015	no	WALNUT CREEK, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 6, 2008	Jun 3, 2015	no	Walnut Creek, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 13, 2005	Apr 7, 2006	no	SAN FRANCISCO, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 27, 2004	Nov 29, 2004	no	CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SCOTTRADE INVESTMENT MANAGEMENT	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 8, 2018	Apr 6, 2018	29	Firm change	Ibd to wirehouse
J.P. MORGAN SECURITIES LLC	SCOTTRADE INVESTMENT MANAGEMENT	Oct 13, 2016	Jan 27, 2017	106	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 3, 2015	Feb 6, 2008	-2,674	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 3, 2015	Feb 6, 2008	-2,674	Channel change	Other
UBS FINANCIAL SERVICES INC.	TD AMERITRADE, INC.	Apr 7, 2006	Feb 6, 2008	670	Firm change after gap	Wirehouse to new firm
CHARLES SCHWAB & CO., INC.	UBS FINANCIAL SERVICES INC.	Nov 29, 2004	Jan 13, 2005	45	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169988:7691:MO:2018-03-07	Mar 8, 2018	Apr 6, 2018	SAINT LOUIS, MO	Firm change

Relationships

Registered with (7)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Apr 6, 2018 to presentfactForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 27, 2017 to Mar 8, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jun 29, 2015 to Oct 13, 2016factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 6, 2008 to Jun 3, 2015factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 6, 2008 to Jun 3, 2015factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 13, 2005 to Apr 7, 2006factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jul 27, 2004 to Nov 29, 2004factForm ADV

Dated events

No dated event names this entity yet.