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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EVANSVILLE, IN | NEW YORK, 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 | Mar 31, 2022 | n/a | yes | NEW YORK, NY|EVANSVILLE, IN | Current employment |
| ROBERT W. BAIRD & CO. INCORPORATED | Mixed wealth | Oct 18, 2019 | Mar 10, 2022 | no | EVANSVILLE, IN | Previous registration |
| J.J.B. HILLIARD, W.L. LYONS, LLC | Former SEC adviser | Sep 27, 2018 | Oct 18, 2019 | no | EVANSVILLE, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ROBERT W. BAIRD & CO. INCORPORATED | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Mar 10, 2022 | Mar 31, 2022 | 21 | Firm change | RIA to wirehouse |
| J.J.B. HILLIARD, W.L. LYONS, LLC | ROBERT W. BAIRD & CO. INCORPORATED | Oct 18, 2019 | Oct 18, 2019 | 0 | Bulk transfer | RIA to RIA |