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Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Newport Beach, CA | 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 | Aug 18, 2015 | n/a | yes | NEW YORK, NY|Newport Beach, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Dec 16, 2013 | Jul 21, 2015 | no | NEWPORT BEACH, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 19, 2012 | Dec 16, 2013 | no | NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jul 21, 2015 | Aug 18, 2015 | 28 | Firm change | Wirehouse to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Dec 16, 2013 | Dec 16, 2013 | 0 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:7691:CA:2015-06-22 | Jul 21, 2015 | Aug 18, 2015 | NEWPORT BEACH, CA | Firm change |