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

Filippo Maiello

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PENNINGTON, NJ | CHANDLER, AZ

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Search this name across graphsid dfx:ria:485c242e-c24b-5253-e630-22490797a582

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 25, 2010 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 16, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 16, 2006
First registration: Oct 25, 2010
Dual registered: yes, broker-dealer
Other names: PHIL MAIELLO|FILIPPO MARIO MAIELLO|PHIL MARIO MAIELLO|FILIPPO MAIELLO
IAPD individual key: 5014505

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	Nov 23, 2020	n/a	yes	PENNINGTON, NJ\|CHANDLER, AZ	Current employment
SANTANDER SECURITIES	Bd affiliated wealth	Oct 22, 2019	May 11, 2020	no	Staten Island, NY\|Staten Island, NY\|Scotch Plains, NJ\|Staten Island, NY\|Staten Island, NY	Previous registration
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP	Former SEC adviser	Sep 21, 2016	Dec 31, 2018	no	PRINCETON, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 25, 2010	Oct 23, 2014	no	PENNINGTON, 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
SANTANDER SECURITIES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 11, 2020	Nov 23, 2020	196	Firm change	Ibd to wirehouse
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP	SANTANDER SECURITIES	Dec 31, 2018	Oct 22, 2019	295	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP	Oct 23, 2014	Sep 21, 2016	699	Firm change after gap	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 25, 2010 to Oct 23, 2014factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Oct 22, 2019 to May 11, 2020factForm ADV
→ EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LPRegistered adviserregistration: previous registration
Sep 21, 2016 to Dec 31, 2018factForm ADV

Dated events

No dated event names this entity yet.