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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DALLAS, TX
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 5, 2025 | n/a | yes | DALLAS, TX | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 7, 2019 | Sep 9, 2024 | no | FRISCO, TX|Prosper, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Apr 11, 2014 | Sep 9, 2019 | no | PLANO, TX | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 23, 2011 | Mar 15, 2014 | no | DALLAS, TX|DALLAS, TX|DALLAS, TX|LAKE CHARLES, LA|DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 9, 2019 | Oct 7, 2019 | 28 | Firm change | Wirehouse to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Mar 15, 2014 | Apr 11, 2014 | 27 | Firm change | Wirehouse to wirehouse |