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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Sheau-Lei HOUGHTON Ellison

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY | Tampa, FL

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Search this name across graphsid dfx:ria:7281fdf0-8ef7-9e46-f11f-eae3d2ba375b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 18, 2001 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: Jun 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 10, 2001
First registration: Apr 18, 2001
Dual registered: yes, broker-dealer
Other names: SHEAU-LEI RAY HOUGHTON|Sheau-Lei HOUGHTON Ellison|Sheau-Lei H Ellison
IAPD individual key: 4363417

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	May 1, 2026	n/a	yes	NEW YORK, NY\|Tampa, FL	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Mar 17, 2025	Mar 24, 2026	no	ST. PETERSBURG, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Feb 11, 2025	no	TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|BLUE BELL, PA\|ATLANTA, GA\|TAMPA, FL\|NEW YORK, NY	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 18, 2001	Oct 23, 2009	no	TAMPA, FL\|TAMPA, FL	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
RAYMOND JAMES & ASSOCIATES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 24, 2026	May 1, 2026	38	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES & ASSOCIATES, INC.	Feb 11, 2025	Mar 17, 2025	34	Firm change	Wirehouse to ibd
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Feb 11, 2025factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Mar 17, 2025 to Mar 24, 2026factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 18, 2001 to Oct 23, 2009factForm ADV

Dated events

Occurred
Mar 24, 2026
Advisor changed firm
Sheau-Lei Houghton Ellison left Raymond James & Associates, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-05-01)
Form ADVobserved 5 days ago
Occurred
Feb 11, 2025
Advisor changed firm
Sheau-Lei Houghton Ellison left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Raymond James & Associates, Inc. (registered 2025-03-17)
Form ADVobserved 5 days ago