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

ELAINE THOMPSON-PEREZ

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

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Search this name across graphsid dfx:ria:68d44dd0-22e7-5dd9-31bc-89a8a30e895d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 0
Observed: Jun 16, 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: Nov 19, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 19, 2007
First registration: Jun 16, 2008
Dual registered: yes, broker-dealer
Other names: ELAINE RUTH THOMPSON|ELAINE RUTH THOMPSON-PEREZ|ELAINE THOMPSON PEREZ|ELAINE RUTH THOMPSON PEREZ|ELAINE R THOMPSON-PEREZ|Elaine Thompson-Perez
IAPD individual key: 1870716

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	Mar 7, 2025	n/a	yes	NEW YORK, NY	Current employment
VOYA RETIREMENT ADVISORS, LLC	Other adviser	Jan 3, 2025	Feb 19, 2025	no	WINDSOR, CT\|New York, NY	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Feb 13, 2024	Dec 9, 2024	no	New York, NY\|JAMAICA, NY	Previous registration
MORGAN STANLEY	Wirehouse	May 26, 2022	Apr 21, 2023	no	New York, NY	Previous registration
MORGAN STANLEY	Wirehouse	Mar 10, 2020	Feb 7, 2022	no	PURCHASE, NY\|NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jan 26, 2018	Sep 30, 2019	no	New York, NY\|Pleasanton, CA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Sep 20, 2016	Jan 29, 2018	no	SAN JOSE, CA\|WALNUT CREEK, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Nov 23, 2015	Jun 1, 2016	no	WALNUT CREEK, CA\|SAN FRANCISCO, CA	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Mar 18, 2015	Oct 30, 2015	no	MODESTO, CA	Previous registration
AMERITAS ADVISORY SERVICES	Former SEC adviser	Oct 4, 2013	Feb 27, 2015	no	LINCOLN, NE\|SAN RAMON, CA	Previous registration
LIBERTY WEALTH MANAGEMENT, LLC	Former SEC adviser	Mar 30, 2011	Oct 12, 2011	no	PLEASANTON, CA\|OAKLAND, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 1, 2010	Mar 10, 2011	no	WALNUT CREEK, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 16, 2008	Jul 14, 2008	no	Pleasanton, CA	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
VOYA RETIREMENT ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 19, 2025	Mar 7, 2025	16	Firm change	Other
MML INVESTORS SERVICES, LLC	VOYA RETIREMENT ADVISORS, LLC	Dec 9, 2024	Jan 3, 2025	25	Firm change	Other
MORGAN STANLEY	MML INVESTORS SERVICES, LLC	Apr 21, 2023	Feb 13, 2024	298	Firm change	Wirehouse to ibd
PRINCIPAL SECURITIES, INC.	MORGAN STANLEY	Jan 29, 2018	Jan 26, 2018	-3	Firm change	Other
EQUITABLE ADVISORS, LLC	PRINCIPAL SECURITIES, INC.	Jun 1, 2016	Sep 20, 2016	111	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	EQUITABLE ADVISORS, LLC	Oct 30, 2015	Nov 23, 2015	24	Firm change	Other
AMERITAS ADVISORY SERVICES	TRANSAMERICA FINANCIAL ADVISORS, LLC	Feb 27, 2015	Mar 18, 2015	19	Firm change	Other
LIBERTY WEALTH MANAGEMENT, LLC	AMERITAS ADVISORY SERVICES	Oct 12, 2011	Oct 4, 2013	723	Firm change after gap	Other
MSI FINANCIAL SERVICES, INC.	LIBERTY WEALTH MANAGEMENT, LLC	Mar 10, 2011	Mar 30, 2011	20	Firm change	Other
MML INVESTORS SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Jul 14, 2008	Mar 1, 2010	595	Firm change after gap	Other

Relationships

Registered with (10)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Mar 7, 2025 to presentfactForm ADV
→ VOYA RETIREMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 3, 2025 to Feb 19, 2025factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Feb 13, 2024 to Dec 9, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 26, 2022 to Apr 21, 2023factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 20, 2016 to Jan 29, 2018factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 23, 2015 to Jun 1, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 18, 2015 to Oct 30, 2015factForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 4, 2013 to Feb 27, 2015factForm ADV
→ LIBERTY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 30, 2011 to Oct 12, 2011factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 1, 2010 to Mar 10, 2011factForm ADV

Dated events

Occurred
Feb 19, 2025
Advisor changed firm
Elaine Thompson-Perez left Voya Retirement Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-03-07)
Form ADVobserved 5 days ago
Occurred
Dec 9, 2024
Advisor changed firm
Elaine Thompson-Perez left Mml Investors Services, Llc for Voya Retirement Advisors, Llc (registered 2025-01-03)
Form ADVobserved 5 days ago
Occurred
Apr 21, 2023
Advisor changed firm
Elaine Thompson-Perez left Morgan Stanley for Mml Investors Services, Llc (registered 2024-02-13)
Form ADVobserved 5 days ago