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

IRVING THOMAS LEE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WOODBURY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4c7459db-5fce-6db9-5982-881753628b6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 26, 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: Sep 19, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Sep 19, 2000
First registration: Apr 26, 2005
Dual registered: yes, broker-dealer
Other names: IRVING LEE
IAPD individual key: 2641690

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	Feb 20, 2015	n/a	yes	WOODBURY, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 13, 2011	Nov 21, 2014	no	EAST MEADOW, NY\|JERICHO, NY\|NEW YORK, NY\|HICKSVILLE, NY\|JERICHO, NY\|FLUSHING, NY\|MELVILLE, NY\|SYOSSET, NY\|MELVILLE, NY\|GREAT NECK, NY\|LONG ISLAND CITY, NY\|MELVILLE, NY\|NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 29, 2009	May 23, 2011	no	BELLMORE, NY\|SYOSSET, NY\|BALDWIN, NY\|ISLAND PARK, NY\|OCEANSIDE, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 26, 2005	Jul 18, 2005	no	LINDENHURST, NY	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
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 23, 2011	Jun 13, 2011	21	Firm change	Other

Relationships

Registered with (2)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 13, 2011 to Nov 21, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 29, 2009 to May 23, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c7459db-5fce-6db9-5982-881753628b6c
First observed: Apr 26, 2005
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.

IRVING THOMAS LEE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WOODBURY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4c7459db-5fce-6db9-5982-881753628b6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Feb 20, 2015

n/a

yes

WOODBURY, NY

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Jun 13, 2011

Nov 21, 2014

Previous registration

CHASE INVESTMENT SERVICES CORP.

Former SEC adviser

Apr 29, 2009

May 23, 2011

BELLMORE, NY|SYOSSET, NY|BALDWIN, NY|ISLAND PARK, NY|OCEANSIDE, NY

Previous registration

CHASE INVESTMENT SERVICES CORP.

Former SEC adviser

Apr 26, 2005

Jul 18, 2005

LINDENHURST, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

May 23, 2011

Jun 13, 2011

Firm change

Other