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Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NEW YORK, NY
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 | Oct 23, 2009 | n/a | yes | NEW YORK, NY|NEW YORK, NY | Current employment |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Oct 11, 2005 | Oct 23, 2009 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jan 28, 2005 | Sep 14, 2005 | no | NEW YORK, NY | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Mar 22, 2002 | Dec 31, 2004 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| CHASE INVESTMENT SERVICES CORP. | BANC OF AMERICA INVESTMENT SERVICES, INC. | Sep 14, 2005 | Oct 11, 2005 | 27 | Firm change | Other |