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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LAGUNA NIGUEL, CA
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 | Mar 19, 2019 | n/a | yes | LAGUNA NIGUEL, CA | Current employment |
| SECURIAN FINANCIAL SERVICES, INC. | Former SEC adviser | Sep 1, 2016 | Feb 27, 2019 | no | NEWPORT BEACH, CA | Previous registration |
| PRUCO SECURITIES, LLC | No RAUM reported | Feb 10, 2012 | Aug 23, 2016 | no | CITY OF INDUSTRY, CA|IRVINE, CA|BREA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURIAN FINANCIAL SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Feb 27, 2019 | Mar 19, 2019 | 20 | Firm change | Ibd to wirehouse |
| PRUCO SECURITIES, LLC | SECURIAN FINANCIAL SERVICES, INC. | Aug 23, 2016 | Sep 1, 2016 | 9 | Firm change | Other |