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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

PATRICK SEAN GALLAGHER

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

New York, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:40787056-9ed9-7d81-54c7-80ee4ff47a2b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 19, 2006 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: Feb 13, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 13, 2006
First registration: May 19, 2006
Dual registered: yes, broker-dealer
Other names: PATRICK SEAN GALLAGHER|PATRICK S GALLAGHER
IAPD individual key: 4839078

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	Apr 19, 2010	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
MORGAN STANLEY	Wirehouse	Jun 2, 2009	Apr 14, 2010	no	NY, NY\|PURCHASE, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 28, 2007	Jan 24, 2008	no	NEW YORK, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 19, 2006	Oct 3, 2006	no	WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, 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	Apr 14, 2010	Apr 19, 2010	5	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jan 24, 2008	Jun 2, 2009	495	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Oct 3, 2006	Feb 28, 2007	148	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Apr 19, 2010 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 2, 2009 to Apr 14, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 28, 2007 to Jan 24, 2008factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 19, 2006 to Oct 3, 2006factForm ADV

Dated events

No dated event names this entity yet.