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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Rufus Alston Roberts

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Fort Worth, TX | SHREVEPORT, LA | DALLAS, TX

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Search this name across graphsid dfx:ria:6e2b93a3-0ad8-c0af-2a1c-493b3ce635d4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1998 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: May 8, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 8, 1991
First registration: Jan 1, 1998
Dual registered: yes, broker-dealer
Other names: ALSTON ROBERTS|R ALSTON ROBERTS|ALSTON ROBERTS|R. ALSTON ROBERTS|Rufus Alston Roberts
IAPD individual key: 2134494

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	Feb 8, 2023	n/a	yes	DALLAS, TX\|DALLAS, TX\|SHREVEPORT, LA\|Fort Worth, TX	Current employment
MORGAN STANLEY	Wirehouse	May 6, 2015	Nov 17, 2022	no	DALLAS, TX\|Dallas, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Jan 30, 2014	Dec 3, 2014	no	FORT WORTH, TX\|RICHARDSON, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Jun 4, 2012	Dec 9, 2013	no	DALLAS, TX\|ADDISON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Jan 3, 2012	no	DALLAS, TX\|BOSTON, MA\|DALLAS, TX\|LAS VEGAS, NV\|SCOTTSDALE, AZ	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jan 1, 1998	Oct 23, 2009	no	BOSTON, MA\|DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|BOSTON, MA\|ATLANTA, GA\|FT. WORTH, TX\|MIDLAND, TX\|WICHITA FALLS, TX\|ARLINGTON, TX\|FLOWER MOUND, TX\|AMARILLO, TX\|LEWISVILLE, TX\|LUBBOCK, TX\|SOUTHLAKE, TX\|MIDLAND, TX\|WACO, TX\|DALLAS, TX	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 17, 2022	Feb 8, 2023	83	Firm change	Wirehouse to wirehouse
PNC MANAGED ACCOUNT SOLUTIONS, INC.	MORGAN STANLEY	Dec 3, 2014	May 6, 2015	154	Firm change	Other
USAA FINANCIAL PLANNING SERVICES	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Dec 9, 2013	Jan 30, 2014	52	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	USAA FINANCIAL PLANNING SERVICES	Jan 3, 2012	Jun 4, 2012	153	Firm change	Wirehouse to new firm
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:7691:TX:2022-11-17	Nov 17, 2022	Feb 8, 2023	DALLAS, TX	Firm change

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Jan 3, 2012factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 6, 2015 to Nov 17, 2022factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Jan 30, 2014 to Dec 3, 2014factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Jun 4, 2012 to Dec 9, 2013factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 1, 1998 to Oct 23, 2009factForm ADV

Dated events

Occurred
Nov 17, 2022
Advisor changed firm
Rufus Alston Roberts left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-02-08)
Form ADVobserved 5 days ago