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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Adam JASON Rosenfeld

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Miami Beach, FL | MIAMI, FL

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Search this name across graphsid dfx:ria:7d9efad9-a433-86b9-4735-17774c0b61eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 5, 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: Feb 5, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 20, 2001
First registration: Feb 5, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4310098

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	Aug 30, 2011	n/a	yes	Miami Beach, FL\|MIAMI, FL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 1, 2011	no	MIAMI, FL\|Miami, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 11, 2009	no	MIAMI, FL\|NEW YORK, NY\|AVENTURA, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 5, 2001	Apr 2, 2007	no	AVENTURA, FL\|AVENTURA, 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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 1, 2011	Aug 30, 2011	-2	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 11, 2009	Jun 1, 2009	-10	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Aug 30, 2011 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 1, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 11, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 5, 2001 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.