DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

SARAH HARKINS FLICK

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PASADENA, CA | LAS VEGAS, NV

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:815a4b8e-1dba-0bee-10fc-2090b43b213a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2004 to Sep 15, 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: Mar 29, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Mar 29, 2004
First registration: Mar 31, 2004
Dual registered: yes, broker-dealer
Other names: SARAH L. HARKINS|SARAH L HARKINS
IAPD individual key: 4740061

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	Jan 13, 2009	n/a	yes	LAS VEGAS, NV\|PASADENA, CA	Current employment
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jan 14, 2009	no	RANCHO SANTE FE, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jun 29, 2006	Apr 2, 2007	no	RANCHO SANTE FE, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 31, 2004	Apr 24, 2006	no	LOS ANGELES, CA	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 & CO. LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 14, 2009	Jan 13, 2009	-1	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY DW INC.	Apr 24, 2006	Jun 29, 2006	66	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jan 13, 2009 to presentfactForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jan 14, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jun 29, 2006 to Apr 2, 2007factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Mar 31, 2004 to Apr 24, 2006factForm ADV

Dated events

No dated event names this entity yet.