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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

DAVID ALLEN BUCK

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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:4daf4d0c-cd62-5d78-4b9b-33ed14d21cf1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2016 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: Mar 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 6
Exams: S66
First exam: Aug 18, 2016
First registration: Aug 18, 2016
Dual registered: yes, broker-dealer
Other names: David Buck|DAVID ALLEN BUCK
IAPD individual key: 6071420

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	Sep 20, 2019	n/a	yes	STILLWATER, MN\|Golden Valley, MN\|BELLEVUE, WA\|Golden Valley, MN\|WAYZATA, MN\|FARGO, ND\|EAU CLAIRE, WI\|SIOUX FALLS, SD	Current employment
FISHER INVESTMENTS	Independent wealth	Nov 14, 2017	Sep 30, 2019	no	PLANO, TX\|PLANO, TX	Previous registration
MORGAN STANLEY	Wirehouse	Aug 18, 2016	Oct 17, 2017	no	Seattle, WA	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
FISHER INVESTMENTS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 30, 2019	Sep 20, 2019	-10	Firm change	RIA to wirehouse
MORGAN STANLEY	FISHER INVESTMENTS	Oct 17, 2017	Nov 14, 2017	28	Firm change	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Sep 20, 2019 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Nov 14, 2017 to Sep 30, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 18, 2016 to Oct 17, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4daf4d0c-cd62-5d78-4b9b-33ed14d21cf1
First observed: Aug 18, 2016
Last observed: Sep 15, 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.

DAVID ALLEN BUCK

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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:4daf4d0c-cd62-5d78-4b9b-33ed14d21cf1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Sep 20, 2019

n/a

yes

Current employment

FISHER INVESTMENTS

Independent wealth

Nov 14, 2017

Sep 30, 2019

PLANO, TX|PLANO, TX

Previous registration

MORGAN STANLEY

Wirehouse

Aug 18, 2016

Oct 17, 2017

Seattle, WA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

FISHER INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 30, 2019

Sep 20, 2019

-10

Firm change

RIA to wirehouse

MORGAN STANLEY

FISHER INVESTMENTS

Oct 17, 2017

Nov 14, 2017

Firm change

Other