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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

WILLIAM STUART ANNIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:8868b0be-4fc9-e36f-f11c-9ea260a653b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 14, 1999 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 3, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S65|S63
First exam: Jun 3, 1994
First registration: Apr 14, 1999
Dual registered: yes, broker-dealer
Other names: BILL ANNIN|WILLIAM STEWART ANNIN
IAPD individual key: 2476677

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	Oct 23, 2009	n/a	yes	CHARLOTTE, NC	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 16, 2007	Oct 23, 2009	no	CHARLOTTE, NC	Previous registration
CHOREO, LLC	Independent wealth	Jun 21, 2005	Nov 16, 2007	no	CHARLOTTE, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 4, 2002	Jun 16, 2005	no	CHARLOTTE, NC	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Apr 14, 1999	Sep 6, 2002	no	CHARLOTTE, NC	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
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
CHOREO, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Nov 16, 2007	Nov 16, 2007	0	Firm change	Other
WELLS FARGO ADVISORS	CHOREO, LLC	Jun 16, 2005	Jun 21, 2005	5	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Sep 6, 2002	Sep 4, 2002	-2	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Oct 23, 2009 to presentfactForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 16, 2007 to Oct 23, 2009factForm ADV
→ CHOREO, LLCRegistered adviserregistration: previous registration
Jun 21, 2005 to Nov 16, 2007factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 4, 2002 to Jun 16, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Apr 14, 1999 to Sep 6, 2002factForm ADV

Dated events

No dated event names this entity yet.