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Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ROSEVILLE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 7, 2016 | n/a | yes | ROSEVILLE, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Aug 16, 2013 | Jan 19, 2016 | no | LOS ANGELES, CA|NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 19, 2016 | Jan 7, 2016 | -12 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:7691:CA:2016-01-19 | Jan 19, 2016 | Jan 7, 2016 | NEWPORT BEACH, CA | Firm change |