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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

RAQUEL NALO

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ATLANTA, GA

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Search this name across graphsid dfx:ria:4fd25834-76ec-6ebb-3407-ef4490d1faba

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Nov 9, 2009 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: Oct 30, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 30, 2009
First registration: Nov 9, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 2779698

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 29, 2025	n/a	yes	ATLANTA, GA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Nov 22, 2022	Sep 2, 2025	no	CANTON, GA\|CUMMING, GA\|MARIETTA, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 1, 2018	Nov 30, 2022	no	ATLANTA, GA\|ALPHARETTA, GA\|ATLANTA, GA	Previous registration
MORGAN STANLEY	Wirehouse	Feb 6, 2012	Jan 12, 2018	no	FT. LAUDERDALE, FL\|Atlanta, GA\|Fort Lauderdale, FL	Previous registration
PROVENANCE WEALTH ADVISORS	Independent wealth	Mar 14, 2011	Nov 22, 2011	no	FT. LAUDERDALE, FL\|FORT LAUDERDALE, FL	Previous registration
MORGAN STANLEY	Wirehouse	Nov 9, 2009	Oct 14, 2010	no	AVENTURA, FL	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
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 2, 2025	Sep 29, 2025	27	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Nov 30, 2022	Nov 22, 2022	-8	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 12, 2018	Feb 1, 2018	20	Firm change	Wirehouse to wirehouse
PROVENANCE WEALTH ADVISORS	MORGAN STANLEY	Nov 22, 2011	Feb 6, 2012	76	Firm change	Other
MORGAN STANLEY	PROVENANCE WEALTH ADVISORS	Oct 14, 2010	Mar 14, 2011	151	Firm change	Wirehouse to new firm

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:19616:GA:2022-11-23	Nov 30, 2022	Nov 22, 2022	ATLANTA, GA	Firm change

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 1, 2018 to Nov 30, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 22, 2022 to Sep 2, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 6, 2012 to Jan 12, 2018factForm ADV
→ PROVENANCE WEALTH ADVISORSRegistered adviserregistration: previous registration
Mar 14, 2011 to Nov 22, 2011factForm ADV

Dated events

Occurred
Sep 2, 2025
Advisor changed firm
Raquel Nalo left Wells Fargo Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-09-29)
Form ADVobserved 4 days ago
Occurred
Nov 30, 2022
Advisor changed firm
Raquel Nalo left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2022-11-22)
Form ADVobserved 4 days ago