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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

DAVID HENRY BERNTSEN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAYNE, NJ

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Search this name across graphsid dfx:ria:391dafb3-1d74-b020-2393-2363d89dd313

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2002 to Sep 14, 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: Feb 10, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Feb 10, 1987
First registration: Jun 25, 2002
Dual registered: yes, broker-dealer
Other names: DAVID H BERNTSEN
IAPD individual key: 1480860

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	Jul 25, 2014	n/a	yes	WAYNE, NJ	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 8, 2014	no	Paramus, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Feb 11, 2008	Jun 1, 2009	no	PARAMUS, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 25, 2002	Feb 27, 2008	no	PARAMUS, NJ\|HACKENSACK, NJ	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 8, 2014	Jul 25, 2014	17	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY & CO. LLC	Feb 27, 2008	Feb 11, 2008	-16	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jul 25, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 8, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Feb 11, 2008 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 25, 2002 to Feb 27, 2008factForm ADV

Dated events

No dated event names this entity yet.