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Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STAMFORD, CT | Ontario, CA
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 | Jun 19, 2019 | n/a | yes | STAMFORD, CT|Ontario, CA | Current employment |
| BOFA SECURITIES, INC. | No RAUM reported | May 10, 2019 | Jun 25, 2019 | no | NEW YORK, NY|RIVERSIDE, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 10, 2015 | May 10, 2019 | no | RANCHO CUCAMONGA, CA|NEW YORK, NY|RIVERSIDE, CA|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BOFA SECURITIES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jun 25, 2019 | Jun 19, 2019 | -6 | Channel change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | BOFA SECURITIES, INC. | May 10, 2019 | May 10, 2019 | 0 | Channel change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:283942:NY:2019-05-10 | May 10, 2019 | May 10, 2019 | NEW YORK, NY | Firm change |