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

Jun 1, 2000earliest registration or exam on IAPD

Years in industry

26derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Exams

S66

First exam

Jul 30, 2001

First registration

Aug 9, 2001

Dual registered

yes, broker-dealer

Other names

GEORGE WAYNE SEALS|GEORGE W SEALS JR.|GEORGE W SEALS|GEORGE SEALS

IAPD individual key

4288286

• Occurred

  Oct 31, 2022
  Advisor changed firm

  George W Seals left Ubs Financial Services Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-11-01)

  Form ADVobserved 3 days ago
• Occurred

  Sep 27, 2022
  Advisor changed firm

  George W Seals left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2022-09-26)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:4e304e6b-0e69-2e9c-eca9-f58ebaedee0e

First observed

Aug 9, 2001

Last observed

Sep 14, 2026 5 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.