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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CHICAGO, IL
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 | Feb 13, 2025 | n/a | yes | CHICAGO, IL | Current employment |
| LPL ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | Feb 4, 2025 | no | DOWNERS GROVE, IL | Previous registration |
| PRUCO SECURITIES, LLC | No RAUM reported | Mar 17, 2022 | Nov 14, 2024 | no | DOWNERS GROVE, IL|Chicago, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL ENTERPRISE, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Feb 4, 2025 | Feb 13, 2025 | 9 | Firm change | Other |
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |