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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DALLAS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 19, 2016 | n/a | yes | DALLAS, TX | Current employment |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Aug 26, 2016 | no | DALLAS, TX | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Feb 27, 2009 | Jun 1, 2009 | no | DALLAS, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 28, 1995 | Mar 17, 2009 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 26, 2016 | Aug 19, 2016 | -7 | Firm change | Wirehouse to wirehouse |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | MORGAN STANLEY & CO. LLC | Mar 17, 2009 | Feb 27, 2009 | -18 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149777:7691:TX:2016-08-26 | Aug 26, 2016 | Aug 19, 2016 | DALLAS, TX | Firm change |