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Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SALT LAKE CITY , UT | SALT LAKE CITY, UT
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 | Jun 22, 2023 | n/a | yes | SALT LAKE CITY, UT|SALT LAKE CITY , UT | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Apr 26, 2022 | Jun 1, 2023 | no | SALT LAKE CITY, UT|SALT LAKE CITY, UT | Previous registration |
| ICON ADVISERS, INC. | Other adviser | Sep 27, 2007 | Oct 6, 2008 | no | GREENWOOD VILLAGE, CO | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jul 8, 2005 | Mar 1, 2006 | no | ANADA, CO | Previous registration |
| FORTA FINANCIAL GROUP, INC. | Former SEC adviser | Sep 14, 2004 | Jul 7, 2005 | no | GREENWOOD VILLAGE, CO | Previous registration |
| QUICK & REILLY, INC. | n/a | Nov 21, 2002 | Sep 16, 2004 | no | GREENWOOD VILLAGE, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jun 1, 2023 | Jun 22, 2023 | 21 | Firm change | Wirehouse to wirehouse |
| ICON ADVISERS, INC. | WELLS FARGO ADVISORS | Oct 6, 2008 | Apr 26, 2022 | 4,950 | Firm change after gap | Other |
| CHASE INVESTMENT SERVICES CORP. | ICON ADVISERS, INC. | Mar 1, 2006 | Sep 27, 2007 | 575 | Firm change after gap | Other |
| FORTA FINANCIAL GROUP, INC. | CHASE INVESTMENT SERVICES CORP. | Jul 7, 2005 | Jul 8, 2005 | 1 | Firm change | Other |
| QUICK & REILLY, INC. | FORTA FINANCIAL GROUP, INC. | Sep 16, 2004 | Sep 14, 2004 | -2 | Firm change | Other |