DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TULSA, OK
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 | Nov 18, 2019 | n/a | yes | TULSA, OK | Current employment |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Jun 13, 2018 | Nov 11, 2019 | no | Lone Tree, CO|Tulsa, OK|Las Vegas, NV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Nov 11, 2019 | Nov 18, 2019 | 7 | Firm change | Ibd to wirehouse |