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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Charlotte, NC | NEW YORK, NY
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 19, 2021 | n/a | yes | Charlotte, NC|NEW YORK, NY | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 16, 2009 | Dec 12, 2019 | no | CHARLOTTE, NC|FORT MILL, SC | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Mar 25, 2009 | Oct 27, 2009 | no | Greensboro, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Dec 12, 2019 | Jan 19, 2021 | 404 | Firm change after gap | Ibd to wirehouse |
| AMERIPRISE FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Oct 27, 2009 | Nov 16, 2009 | 20 | Firm change | Other |