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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NEW YORK, NY | Pennington, NJ
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 | Sep 22, 2020 | n/a | yes | Pennington, NJ|NEW YORK, NY | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Apr 29, 2019 | Oct 24, 2019 | no | WEEHAWKEN, NJ | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Mar 1, 2016 | Mar 27, 2019 | no | PENNINGTON, NJ|PENNINGTON, NJ|PENNINGTON, NJ|NEW YORK, NY|PENNINGTON, NJ|NEW YORK, NY|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 24, 2019 | Sep 22, 2020 | 334 | Firm change | Wirehouse to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Mar 27, 2019 | Apr 29, 2019 | 33 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:7691:NJ:2019-10-24 | Oct 24, 2019 | Sep 22, 2020 | WEEHAWKEN, NJ | Firm change |