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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Dana Conrad

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Matthews, NC | CHARLOTTE, NC | NEW YORK, NY

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Search this name across graphsid dfx:ria:2e8ee5ae-6e9b-cddb-b3a8-b624d1e6e045

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2007 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 17, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 17, 2007
First registration: Mar 19, 2007
Dual registered: yes, broker-dealer
Other names: DANA LYNN PFEUFFER|DANA LYNN CONRAD
IAPD individual key: 5228301

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	Dec 3, 2020	n/a	yes	NEW YORK, NY\|CHARLOTTE, NC\|Matthews, NC	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 19, 2011	Dec 10, 2020	no	CHARLOTTE, NC\|CHARLOTTE, NC\|ST. LOUIS, MO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Sep 15, 2011	no	CHARLOTTE, NC	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 1, 2008	Oct 23, 2009	no	CHARLOTTE, NC	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 19, 2007	Jun 29, 2007	no	CHARLOTTE, NC	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
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 10, 2020	Dec 3, 2020	-7	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Sep 15, 2011	Sep 19, 2011	4	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Jun 29, 2007	Apr 1, 2008	277	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Sep 15, 2011factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 19, 2011 to Dec 10, 2020factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 1, 2008 to Oct 23, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 19, 2007 to Jun 29, 2007factForm ADV

Dated events

No dated event names this entity yet.