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Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
HENDERSON, NV
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 | Nov 2, 2017 | n/a | yes | HENDERSON, NV | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 17, 2006 | Nov 10, 2017 | no | LAS VEGAS, NV|HENDERSON, NV | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Sep 5, 2002 | Jan 19, 2006 | no | HENDERSON, NV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Nov 10, 2017 | Nov 2, 2017 | -8 | Firm change | Wirehouse to wirehouse |
| MORGAN STANLEY DW INC. | UBS FINANCIAL SERVICES INC. | Jan 19, 2006 | Jan 17, 2006 | -2 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:7691:NV:2017-11-10 | Nov 10, 2017 | Nov 2, 2017 | HENDERSON, NV | Firm change |