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Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FAIRFIELD, CT
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 | Oct 12, 2015 | n/a | yes | FAIRFIELD, CT | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 7, 2008 | Oct 21, 2015 | no | STAMFORD, CT | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Nov 17, 1987 | Nov 10, 2008 | no | RIDGEFIELD, CT|RIDGEFIELD, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 21, 2015 | Oct 12, 2015 | -9 | Firm change | Wirehouse to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Nov 10, 2008 | Nov 7, 2008 | -3 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:7691:CT:2015-10-21 | Oct 21, 2015 | Oct 12, 2015 | STAMFORD, CT | Firm change |