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

Sep 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Jan 22, 2020

First registration

Jan 23, 2020

Dual registered

yes, broker-dealer

Other names

Adam Roth|Adam Carl Roth

IAPD individual key

7196165

• Occurred

  Feb 13, 2024
  Advisor changed firm

  Adam Roth left Lpl Financial Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-03-01)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0a72533d-07d6-626e-4ea4-101a82cf3864

First observed

Jan 23, 2020

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.