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.

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

Jan 1, 2012earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S66

First exam

Feb 1, 2018

First registration

Feb 2, 2018

Dual registered

yes, broker-dealer

Other names

Catherine Patrice White|Catherine Patrice White|Catherine Patrice White|Patrice Garcia

IAPD individual key

6868031

• Occurred

  Feb 21, 2024
  Advisor changed firm

  Catherine Patrice Garcia left Thrivent Investment Management Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-10-18)

  Form ADVobserved 4 days ago
• Occurred

  May 8, 2023
  Advisor changed firm

  Catherine Patrice Garcia left Transamerica Financial Advisors, Llc for Thrivent Investment Management Inc. (registered 2023-05-15)

  Form ADVobserved 4 days ago
• Occurred

  Mar 1, 2022
  Advisor changed firm

  Catherine Patrice Garcia left Edward Jones for Transamerica Financial Advisors, Llc (registered 2022-03-18)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:993523d0-571a-c4dc-9e2f-b942a6741ec0

First observed

Feb 2, 2018

Last observed

Sep 14, 2026 5 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.