DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

KIMBERLY RUBIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DALLAS, TX | DENVER, CO

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:4f95a8d7-1925-d232-72b0-13a17c4f7fb3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 3, 2000 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: Nov 2, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 2, 2000
First registration: Nov 3, 2000
Dual registered: yes, broker-dealer
Other names: KIMBERLY RENEE SELF|KIMBERLY RENEE RUBIN|KIMBERLY RENEE SELF|KIMBERLY RENEE RUBIN
IAPD individual key: 4277381

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	Jul 13, 2010	n/a	yes	DALLAS, TX\|DENVER, CO	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Dec 21, 2007	May 28, 2010	no	Frisco, TX\|Frisco, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 14, 2005	Mar 27, 2007	no	Fort Worth, TX	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Apr 25, 2005	Nov 30, 2005	no	DALLAS, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 3, 2000	Aug 19, 2003	no	DALLAS, TX	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
ADVICE AND PLANNING SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 28, 2010	Jul 13, 2010	46	Firm change	Other
CHARLES SCHWAB & CO., INC.	ADVICE AND PLANNING SERVICES	Mar 27, 2007	Dec 21, 2007	269	Firm change	Other
BANC ONE SECURITIES CORPORATION	CHARLES SCHWAB & CO., INC.	Nov 30, 2005	Dec 14, 2005	14	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC ONE SECURITIES CORPORATION	Aug 19, 2003	Apr 25, 2005	615	Firm change after gap	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 3, 2000 to Aug 19, 2003factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Dec 21, 2007 to May 28, 2010factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Dec 14, 2005 to Mar 27, 2007factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 25, 2005 to Nov 30, 2005factForm ADV

Dated events

No dated event names this entity yet.