DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

DANIEL TANG

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Walnut Creek, CA | WALNUT CREEK, CA

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:52ee3e95-93d0-fb0f-96f6-4dce671e7f55

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2015 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: Sep 15, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 15, 2014
First registration: Jan 5, 2015
Dual registered: yes, broker-dealer
IAPD individual key: 6301874

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	May 1, 2015	n/a	yes	WALNUT CREEK, CA\|Walnut Creek, CA	Current employment
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 5, 2015	Apr 21, 2015	no	WALNUT CREEK, CA	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
MSI FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 21, 2015	May 1, 2015	10	Firm change	Other

Relationships

Registered with (2)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 1, 2015 to presentfactForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 5, 2015 to Apr 21, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52ee3e95-93d0-fb0f-96f6-4dce671e7f55
First observed: Jan 5, 2015
Last observed: Sep 15, 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.

DANIEL TANG

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Walnut Creek, CA | WALNUT CREEK, CA

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:52ee3e95-93d0-fb0f-96f6-4dce671e7f55

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

May 1, 2015

n/a

yes

WALNUT CREEK, CA|Walnut Creek, CA

Current employment

MSI FINANCIAL SERVICES, INC.

Former SEC adviser

Jan 5, 2015

Apr 21, 2015

WALNUT CREEK, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MSI FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 21, 2015

May 1, 2015

Firm change

Other