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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

DAVID ANDREW MASSEY

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RANCHO SANTA FE, CA | Rancho Santa Fe, CA

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Search this name across graphsid dfx:ria:250297c5-6a7d-88f6-063d-dbbaa0ea5200

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2000 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: Mar 8, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 8, 2000
First registration: Dec 12, 2000
Dual registered: yes, broker-dealer
Other names: DAVID A MASSEY|DAVE MASSEY
IAPD individual key: 2993074

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	Jun 20, 2011	n/a	yes	RANCHO SANTA FE, CA\|RANCHO SANTA FE, CA\|Rancho Santa Fe, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 29, 2011	no	CARLSBAD, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 13, 2008	Jun 1, 2009	no	CARLSBAD, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 12, 2000	Feb 22, 2008	no	NEWPORT BEACH, CA\|NEWPORT BEACH, 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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 29, 2011	Jun 20, 2011	-9	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Feb 22, 2008	Feb 13, 2008	-9	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 20, 2011 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 29, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 13, 2008 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 12, 2000 to Feb 22, 2008factForm ADV

Dated events

No dated event names this entity yet.