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

Jan 1, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

Feb 17, 2009

First registration

Feb 18, 2009

Dual registered

yes, broker-dealer

Other names

SARA LISTON|SARAH L LISTON|Sarah Louise Liston

IAPD individual key

5493596

• Occurred

  Jan 19, 2023
  Advisor changed firm

  Sarah L Liston left Ubs Financial Services Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-01-24)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:4d8ccdd3-3a0a-31cb-0b6d-7b1d2a0ec583

First observed

Feb 18, 2009

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.