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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NEW YORK, NY | MELVILLE, 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 | May 18, 2022 | n/a | yes | MELVILLE, NY|NEW YORK, NY | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 9, 2018 | Jun 1, 2018 | no | NEW YORK, NY | Previous registration |
| BARCLAYS CAPITAL INC. | Former SEC adviser | Mar 12, 2012 | Dec 15, 2015 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| CREDIT SUISSE SECURITIES (USA) LLC | Former SEC adviser | Sep 17, 2008 | Mar 28, 2012 | no | GREENWICH, CT|NEW YORK, NY | Previous registration |
| LEHMAN BROTHERS INC. | n/a | Mar 31, 2008 | Sep 24, 2008 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BARCLAYS CAPITAL INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Dec 15, 2015 | Jan 9, 2018 | 756 | Firm change after gap | Other |
| CREDIT SUISSE SECURITIES (USA) LLC | BARCLAYS CAPITAL INC. | Mar 28, 2012 | Mar 12, 2012 | -16 | Firm change | Other |
| LEHMAN BROTHERS INC. | CREDIT SUISSE SECURITIES (USA) LLC | Sep 24, 2008 | Sep 17, 2008 | -7 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 19714:7691:NY:2015-12-15 | Dec 15, 2015 | Jan 9, 2018 | NEW YORK, NY | Firm change after gap |