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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Sarah Settle

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BREA, CA | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:1b412184-7c27-0cc4-e047-7c716d7be345

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2015 to Sep 15, 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: Jan 28, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jan 28, 2010
First registration: Jan 2, 2015
Dual registered: yes, broker-dealer
Other names: SARAH SETTLE|Sarah Settle
IAPD individual key: 5612737

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	Nov 17, 2022	n/a	yes	NEWPORT BEACH, CA\|BREA, CA	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 25, 2021	Nov 14, 2022	no	Upland, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Aug 27, 2018	Oct 18, 2021	no	TORRANCE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 2, 2015	Jul 23, 2018	no	WEST COVINA, CA\|LOS ANGELES, CA\|WEST COVINA, CA\|WEST COVINA, CA\|WEST COVINA, CA\|WEST COVINA, CA\|WEST COVINA, CA\|WEST COVINA, CA	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
CHARLES SCHWAB & CO., INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 14, 2022	Nov 17, 2022	3	Firm change	Ibd to wirehouse
FIDELITY PERSONAL AND WORKPLACE ADVISORS	CHARLES SCHWAB & CO., INC.	Oct 18, 2021	Oct 25, 2021	7	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 23, 2018	Aug 27, 2018	35	Firm change	Wirehouse to ibd

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 2, 2015 to Jul 23, 2018factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 25, 2021 to Nov 14, 2022factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Aug 27, 2018 to Oct 18, 2021factForm ADV

Dated events

Occurred
Nov 14, 2022
Advisor changed firm
Sarah Settle left Charles Schwab & Co., Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-11-17)
Form ADVobserved 5 days ago