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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

PHILIP LOUIS FAZIO

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jupiter, FL | FORT LAUDERDALE, FL

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Search this name across graphsid dfx:ria:918082f4-db0a-1da8-948d-4f9089ff7f0e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 17, 2003 to Sep 15, 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: Oct 14, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 14, 2003
First registration: Oct 17, 2003
Dual registered: yes, broker-dealer
Other names: PHIL FAZIO
IAPD individual key: 4283616

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	Jul 17, 2012	n/a	yes	Jupiter, FL\|FORT LAUDERDALE, FL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 1, 2012	no	FT. LAUDERDALE, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	FT. LAUDERDALE, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 20, 2007	Apr 2, 2007	no	FT. LAUDERDALE, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 15, 2004	Feb 26, 2007	no	FORT LAUDERDALE, FL\|FT. LAUDERDALE, FL	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Oct 17, 2003	Mar 17, 2004	no	RALEIGH, NC	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 1, 2012	Jul 17, 2012	-15	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Feb 26, 2007	Feb 20, 2007	-6	Firm change	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	CITIGROUP GLOBAL MARKETS INC.	Mar 17, 2004	Mar 15, 2004	-2	Firm change	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jul 17, 2012 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 1, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 20, 2007 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 15, 2004 to Feb 26, 2007factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 17, 2003 to Mar 17, 2004factForm ADV

Dated events

No dated event names this entity yet.