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Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ALBUQUERQUE, NM
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 | Aug 23, 2022 | n/a | yes | ALBUQUERQUE, NM | Current employment |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | Former SEC adviser | Jun 6, 2022 | Jul 4, 2022 | no | ALBUQUERQUE, NM | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 9, 2015 | May 3, 2022 | no | ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|SANTA FE, NM|SANTA FE, NM|ALBUQUERQUE, NM | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jul 4, 2022 | Aug 23, 2022 | 50 | Firm change | Ibd to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | FIDELITY PERSONAL AND WORKPLACE ADVISORS | May 3, 2022 | Jun 6, 2022 | 34 | Firm change | Wirehouse to ibd |