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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

PAUL SPENCER CHECKETTS

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:91036a7a-91ae-b361-15e2-c08214a5568a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 8, 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: Nov 6, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: Nov 6, 1997
First registration: Aug 8, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2774744

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 4, 2017	n/a	yes	LOS ANGELES, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 25, 2010	May 15, 2012	no	Los Angeles, CA\|LOS ANGELES, CA	Previous registration
CAPWEST SECURITIES, INC.	n/a	Aug 12, 2009	Jan 22, 2010	no	LOS ANGELES, CA\|SAN MARINO, CA\|SAN MARINO, CA	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Apr 17, 2007	Sep 19, 2007	no	LOS ANGELES, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Jun 17, 2005	no	LOS ANGELES, CA	Previous registration
PERSHING LLC	n/a	Aug 8, 2002	Jan 17, 2003	no	LOS ANGELES, CA	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
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 15, 2012	Oct 4, 2017	1,968	Firm change after gap	Wirehouse to wirehouse
CAPWEST SECURITIES, INC.	J.P. MORGAN SECURITIES LLC	Jan 22, 2010	Feb 25, 2010	34	Firm change	Other
DEUTSCHE BANK SECURITIES INC.	CAPWEST SECURITIES, INC.	Sep 19, 2007	Aug 12, 2009	693	Firm change after gap	Other
CREDIT SUISSE SECURITIES (USA) LLC	DEUTSCHE BANK SECURITIES INC.	Jun 17, 2005	Apr 17, 2007	669	Firm change after gap	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Oct 4, 2017 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Feb 25, 2010 to May 15, 2012factForm ADV
→ CAPWEST SECURITIES, INC.Registered adviserregistration: previous registration
Aug 12, 2009 to Jan 22, 2010factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Apr 17, 2007 to Sep 19, 2007factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Jun 17, 2005factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Aug 8, 2002 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.