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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PASADENA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 18, 2023 | n/a | yes | PASADENA, CA | Current employment |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 12, 2022 | Mar 15, 2023 | no | BURBANK, CA|GLENDALE, CA | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | Jun 3, 2021 | Sep 23, 2022 | no | WOODLAND HILLS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Mar 15, 2023 | Apr 18, 2023 | 34 | Firm change | Wirehouse to wirehouse |
| EQUITABLE ADVISORS, LLC | J.P. MORGAN SECURITIES LLC | Sep 23, 2022 | Oct 12, 2022 | 19 | Firm change | Ibd to wirehouse |