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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

SUJATHA RAVIKUMAR

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANTA BARBARA, CA | GOLETA, CA

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Search this name across graphsid dfx:ria:694c0baf-e1e4-65c8-198d-749384c8e978

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2006 to Sep 15, 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: Jul 5, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 5, 2006
First registration: Jul 6, 2006
Dual registered: yes, broker-dealer
Other names: SUJATHA MANJUNATH SHETTIGERE|SUJATHA MANJUNATH SHETTIGERE
IAPD individual key: 5090023

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	Dec 20, 2017	n/a	yes	SANTA BARBARA, CA\|SANTA BARBARA, CA\|GOLETA, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	May 20, 2016	Dec 19, 2017	no	San Jose, CA\|CUPERTINO, CA\|SAN JOSE, CA	Previous registration
MORGAN STANLEY	Wirehouse	Oct 23, 2012	May 25, 2016	no	Cupertino, CA\|Palo Alto, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Oct 3, 2012	no	CUPERTINO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jul 6, 2006	Jan 3, 2011	no	CUPERTINO, CA\|CUPERTINO, 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
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 19, 2017	Dec 20, 2017	1	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	May 25, 2016	May 20, 2016	-5	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MORGAN STANLEY	Oct 3, 2012	Oct 23, 2012	20	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Dec 20, 2017 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 20, 2016 to Dec 19, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 23, 2012 to May 25, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Oct 3, 2012factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 6, 2006 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.