DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RED BANK, NJ
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 | Jan 10, 2017 | n/a | yes | RED BANK, NJ | Current employment |
| OSAIC FA, INC. | Former SEC adviser | Dec 10, 2014 | Jan 11, 2017 | no | RYE BROOK, NY|MANALAPAN, NJ | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Aug 4, 2003 | Apr 15, 2005 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC FA, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 11, 2017 | Jan 10, 2017 | -1 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | OSAIC FA, INC. | Apr 15, 2005 | Dec 10, 2014 | 3,526 | Firm change after gap | Other |