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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

RICHARD JEFFREY CORBETT

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEXINGTON, KY

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Search this name across graphsid dfx:ria:11de156d-d06e-6cb0-6a04-e27d68e7d2cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2003 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Aug 22, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Aug 22, 1997
First registration: Oct 28, 2003
Dual registered: yes, broker-dealer
Other names: JEFF CORBETT
IAPD individual key: 2909721

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 25, 2013	n/a	yes	LEXINGTON, KY	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2013	no	Lexington, KY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 16, 2007	Jun 1, 2009	no	LEXINGTON, KY	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Oct 28, 2003	Feb 22, 2007	no	LEXINGTON, KY\|LEXINGTON, KY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 29, 2013	Oct 25, 2013	-4	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
A. G. EDWARDS & SONS, INC.	CITIGROUP GLOBAL MARKETS INC.	Feb 22, 2007	Feb 16, 2007	-6	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Oct 25, 2013 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 16, 2007 to Jun 1, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Oct 28, 2003 to Feb 22, 2007factForm ADV

Dated events

No dated event names this entity yet.