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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

ADAM DYLAN EPSTEIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MOUNT PLEASANT, SC

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Search this name across graphsid dfx:ria:68d286a8-baac-2991-daa0-926f6d8bb98a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 13, 2008 to Sep 14, 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: Apr 17, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 17, 2008
First registration: May 13, 2008
Dual registered: yes, broker-dealer
Other names: ADAM D EPSTEIN
IAPD individual key: 5489077

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	Nov 1, 2012	n/a	yes	MOUNT PLEASANT, SC	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Dec 10, 2008	Oct 23, 2009	no	TUCKER, GA\|ATLANTA, GA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 20, 2008	Dec 11, 2008	no	ATLANTA, GA\|MARIETTA, GA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 13, 2008	Jun 12, 2008	no	ATLANTA, GA	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
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Nov 1, 2012	1,105	Bulk transfer	Other
WELLS FARGO ADVISORS	BANC OF AMERICA INVESTMENT SERVICES, INC.	Dec 11, 2008	Dec 10, 2008	-1	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Jun 12, 2008	Aug 20, 2008	69	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 1, 2012 to presentfactForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 10, 2008 to Oct 23, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 20, 2008 to Dec 11, 2008factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 13, 2008 to Jun 12, 2008factForm ADV

Dated events

No dated event names this entity yet.