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.

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

Feb 17, 2005earliest registration or exam on IAPD

Years in industry

21derivedfrom the industry start date

Years at current firm

16derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

3

Designations

Chartered Financial Analyst

Exams

S66

First exam

Jun 28, 2010

First registration

Feb 17, 2005

Dual registered

yes, broker-dealer

IAPD individual key

4919997

Graph

RIA / Wealth Management

Canonical id

dfx:ria:63a8b660-9b2c-dcb7-fdc4-53955c1a54b7

First observed

Feb 17, 2005

Last observed

Sep 14, 2026 6 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.