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.

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

Jul 1, 2011earliest registration or exam on IAPD

Years in industry

15derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Oct 24, 2022

First registration

Aug 25, 2023

Dual registered

yes, broker-dealer

IAPD individual key

7771591

• Occurred

  Apr 1, 2025
  Advisor changed firm

  Harvey Saint-Jean left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-10-23)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0a71275b-36b8-c82a-ffaa-764e1b0aebe5

First observed

Aug 25, 2023

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.