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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

ROGER Stanton BEST

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

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:90a0b799-e17b-dce7-15ef-93193956f4f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2010 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: Sep 25, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 25, 1992
First registration: Feb 17, 2010
Dual registered: yes, broker-dealer
Other names: ROGER BEST|ROGER STANTON BEST|ROGER S BEST
IAPD individual key: 2274296

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	Jun 26, 2026	n/a	yes	NEW YORK, NY	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 2, 2017	Jun 17, 2026	no	Long Island City, NY\|New York, NY\|Larchmont, NY\|Larchmont, NY	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jul 6, 2016	May 12, 2017	no	NEW YORK, NY	Previous registration
GILFORD FINANCIAL CORP.	Former SEC adviser	Feb 17, 2010	Jul 31, 2015	no	NEW YORK, NY	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
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 17, 2026	Jun 26, 2026	9	Firm change	Ibd to wirehouse
STRATEGIC ADVISERS LLC	CITIGROUP GLOBAL MARKETS INC.	May 12, 2017	Jun 2, 2017	21	Firm change	Other
GILFORD FINANCIAL CORP.	STRATEGIC ADVISERS LLC	Jul 31, 2015	Jul 6, 2016	341	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7059:7691:NY:2026-06-17	Jun 17, 2026	Jun 26, 2026	LARCHMONT, NY	Firm change

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 26, 2026 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 2, 2017 to Jun 17, 2026factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jul 6, 2016 to May 12, 2017factForm ADV
→ GILFORD FINANCIAL CORP.Registered adviserregistration: previous registration
Feb 17, 2010 to Jul 31, 2015factForm ADV

Dated events

Occurred
Jun 17, 2026
Advisor changed firm
Roger Stanton Best left Citigroup Global Markets Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-06-26)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90a0b799-e17b-dce7-15ef-93193956f4f7
First observed: Feb 17, 2010
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROGER Stanton BEST

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

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:90a0b799-e17b-dce7-15ef-93193956f4f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:47 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Jun 26, 2026

n/a

yes

NEW YORK, NY

Current employment

CITIGROUP GLOBAL MARKETS INC.

Bd affiliated wealth

Jun 2, 2017

Jun 17, 2026

Long Island City, NY|New York, NY|Larchmont, NY|Larchmont, NY

Previous registration

STRATEGIC ADVISERS LLC

National bd RIA

Jul 6, 2016

May 12, 2017

NEW YORK, NY

Previous registration

GILFORD FINANCIAL CORP.

Former SEC adviser

Feb 17, 2010

Jul 31, 2015

NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jun 17, 2026

Jun 26, 2026

Firm change

Ibd to wirehouse

STRATEGIC ADVISERS LLC

CITIGROUP GLOBAL MARKETS INC.

May 12, 2017

Jun 2, 2017

Firm change

Other

GILFORD FINANCIAL CORP.

STRATEGIC ADVISERS LLC

Jul 31, 2015

Jul 6, 2016

341

Firm change

Other

Team

Left

Joined

From

Kind

7059:7691:NY:2026-06-17

Jun 17, 2026

Jun 26, 2026

LARCHMONT, NY

Firm change