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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

WILLIAM MICHAEL SMITH

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HUNT VALLEY, MD

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Search this name across graphsid dfx:ria:4413b46f-b24a-142f-6aa5-b27a9d5d1e0b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2005 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 11, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 11, 2000
First registration: Feb 23, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4093822

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 2, 2022	n/a	yes	HUNT VALLEY, MD	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Dec 6, 2022	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	May 29, 2018	Jul 13, 2018	no	TOWSON, MD	Previous registration
RED OAK FINANCIAL GROUP	Independent wealth	Feb 9, 2016	May 11, 2018	no	TOWSON, MD	Previous registration
MARYLAND CAPITAL MANAGEMENT, LLC	Former SEC adviser	Aug 15, 2014	Feb 9, 2016	no	TOWSON, MD	Previous registration
1919 INVESTMENT COUNSEL, LLC	Independent wealth	Apr 16, 2012	Aug 8, 2014	no	BALTIMORE, MD	Previous registration
CLEARBRIDGE INVESTMENTS	Former SEC adviser	Dec 18, 2007	Dec 1, 2011	no	BALTIMORE, MD	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Mar 17, 2006	Dec 18, 2007	no	NEW YORK, NY	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Feb 23, 2005	Dec 5, 2005	no	BALTIMORE, MD	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 6, 2022	Dec 2, 2022	-4	Firm change	Ibd to wirehouse
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
RED OAK FINANCIAL GROUP	STRATEGIC ADVISERS LLC	May 11, 2018	May 29, 2018	18	Firm change	RIA to ibd
MARYLAND CAPITAL MANAGEMENT, LLC	RED OAK FINANCIAL GROUP	Feb 9, 2016	Feb 9, 2016	0	Firm change	Other
1919 INVESTMENT COUNSEL, LLC	MARYLAND CAPITAL MANAGEMENT, LLC	Aug 8, 2014	Aug 15, 2014	7	Firm change	Other
CLEARBRIDGE INVESTMENTS	1919 INVESTMENT COUNSEL, LLC	Dec 1, 2011	Apr 16, 2012	137	Firm change	Other
CLEARBRIDGE INVESTMENTS, LLC	CLEARBRIDGE INVESTMENTS	Dec 18, 2007	Dec 18, 2007	0	Channel change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CLEARBRIDGE INVESTMENTS, LLC	Dec 5, 2005	Mar 17, 2006	102	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
288590:7691:MA:2022-12-06	Dec 6, 2022	Dec 2, 2022	BOSTON, MA	Firm change

Relationships

Registered with (9)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Dec 2, 2022 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Dec 6, 2022factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
May 29, 2018 to Jul 13, 2018factForm ADV
→ RED OAK FINANCIAL GROUPRegistered adviserregistration: previous registration
Feb 9, 2016 to May 11, 2018factForm ADV
→ MARYLAND CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 15, 2014 to Feb 9, 2016factForm ADV
→ 1919 INVESTMENT COUNSEL, LLCRegistered adviserregistration: previous registration
Apr 16, 2012 to Aug 8, 2014factForm ADV
→ CLEARBRIDGE INVESTMENTSRegistered adviserregistration: previous registration
Dec 18, 2007 to Dec 1, 2011factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 17, 2006 to Dec 18, 2007factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Feb 23, 2005 to Dec 5, 2005factForm ADV

Dated events

Occurred
Dec 6, 2022
Advisor changed firm
William Michael Smith left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-02)
Form ADVobserved 6 days ago