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.

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

Sep 1, 2007earliest registration or exam on IAPD

Years in industry

19derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Mar 19, 2009

First registration

Jul 14, 2010

Dual registered

yes, broker-dealer

Other names

AMY SANTIAGO|MARIE AMY SEPE SANTIAGO|MARIE AMY ALVA SEPE SANTIAGO|Amy Horsley|MARIE AMY ALVA SEPE HORSLEY|AMYS MARIE HORSLEY|AMY MARIE SANTIAGO|AMY S SANTIAGO|Marie Amy Alva Santiago Horsley|MarieAmyAlva S Horsley

IAPD individual key

5431711

Graph

RIA / Wealth Management

Canonical id

dfx:ria:4c696f59-bc89-fa2e-c998-c5d8cede3ddd

First observed

Jul 14, 2010

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.