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Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SAN ANTONIO, TX | HOUSTON, 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 | Jul 14, 2025 | n/a | yes | SAN ANTONIO, TX|HOUSTON, TX | Current employment |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Aug 14, 2013 | Jun 2, 2025 | no | HOUSTON, TX|DENVER, CO|Houston, TX | Previous registration |
| FRUTH INVESTMENT MANAGEMENT | Independent wealth | Nov 18, 2008 | Jun 2, 2010 | no | HOUSTON, TX | Previous registration |
| KING INVESTMENT ADVISORS, INC. | Former SEC adviser | Feb 10, 2006 | Sep 15, 2008 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CITIGROUP GLOBAL MARKETS INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jun 2, 2025 | Jul 14, 2025 | 42 | Firm change | Ibd to wirehouse |
| FRUTH INVESTMENT MANAGEMENT | CITIGROUP GLOBAL MARKETS INC. | Jun 2, 2010 | Aug 14, 2013 | 1,169 | Firm change after gap | Other |
| KING INVESTMENT ADVISORS, INC. | FRUTH INVESTMENT MANAGEMENT | Sep 15, 2008 | Nov 18, 2008 | 64 | Firm change | Other |