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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Michael L Fama

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EAST BRUNSWICK, NJ

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Search this name across graphsid dfx:ria:906cdd2b-7bb5-dba4-f370-8cbc0740bb01

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2002 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: Aug 14, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Aug 14, 1995
First registration: Nov 21, 2002
Dual registered: yes, broker-dealer
Other names: MIKE FAMA|MICHAEL LOUIS FAMA
IAPD individual key: 1964177

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	EAST BRUNSWICK, NJ	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Oct 23, 2009	no	SOUTH RIVER, NJ\|MONROE, NJ\|OLD BRIDGE, NJ\|N. BRUNSWICK, NJ\|EAST BRUNSWICK, NJ\|E. BRUNSWICK, NJ\|MONROE, NJ\|EAST BRUNSWICK, NJ	Previous registration
QUICK & REILLY, INC.	n/a	Nov 21, 2002	Oct 20, 2004	no	EAST BRUNSWICK, NJ	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
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (3)

→ 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
Oct 20, 2004 to Oct 23, 2009factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Nov 21, 2002 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.