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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ROLLING HILLS ESTATES, CA
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 | Jul 23, 2012 | n/a | yes | ROLLING HILLS ESTATES, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jul 23, 2008 | Jul 2, 2012 | no | BEVERLY HILLS, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Oct 26, 2006 | Nov 20, 2007 | no | BEVERLY HILLS, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | Sep 27, 2006 | Nov 1, 2006 | no | PASADENA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jul 2, 2012 | Jul 23, 2012 | 21 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | UBS FINANCIAL SERVICES INC. | Nov 20, 2007 | Jul 23, 2008 | 246 | Firm change | Other |
| WADDELL & REED | CITIGROUP GLOBAL MARKETS INC. | Nov 1, 2006 | Oct 26, 2006 | -6 | Firm change | Other |