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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

LAUREN JULIA KAUFMAN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TOWSON, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6ea4a187-ca6a-65f8-cafc-65de2a7a1f17

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 21, 2011 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: Feb 18, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 18, 2011
First registration: Feb 21, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5383856

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	Sep 2, 2016	n/a	yes	TOWSON, MD	Current employment
MORGAN STANLEY	Wirehouse	Apr 10, 2014	Sep 20, 2016	no	Hunt Valley, MD	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 21, 2011	Apr 9, 2014	no	HUNT VALLEY, MD	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	Sep 20, 2016	Sep 2, 2016	-18	Firm change	Wirehouse to wirehouse
RBC CAPITAL MARKETS, LLC	MORGAN STANLEY	Apr 9, 2014	Apr 10, 2014	1	Firm change	Ibd to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
149777:7691:MD:2016-09-09	Sep 20, 2016	Sep 2, 2016	HUNT VALLEY, MD	Firm change

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Sep 2, 2016 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 10, 2014 to Sep 20, 2016factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 21, 2011 to Apr 9, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ea4a187-ca6a-65f8-cafc-65de2a7a1f17
First observed: Feb 21, 2011
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LAUREN JULIA KAUFMAN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TOWSON, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6ea4a187-ca6a-65f8-cafc-65de2a7a1f17

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:44 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Sep 2, 2016

n/a

yes

TOWSON, MD

Current employment

MORGAN STANLEY

Wirehouse

Apr 10, 2014

Sep 20, 2016

Hunt Valley, MD

Previous registration

RBC CAPITAL MARKETS, LLC

National bd RIA

Feb 21, 2011

Apr 9, 2014

HUNT VALLEY, MD

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 20, 2016

Sep 2, 2016

-18

Firm change

Wirehouse to wirehouse

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY

Apr 9, 2014

Apr 10, 2014

Firm change

Ibd to wirehouse

Team

Left

Joined

From

Kind

149777:7691:MD:2016-09-09

Sep 20, 2016

Sep 2, 2016

HUNT VALLEY, MD

Firm change