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

Dec 14, 2007earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

11derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Designations

Chartered Financial Analyst

Exams

S63|S66

First exam

Dec 14, 2007

First registration

Jun 26, 2012

Dual registered

yes, broker-dealer

IAPD individual key

5230191

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9d65ec12-06b5-2fff-275e-5a3c1c86e85a

First observed

Jun 26, 2012

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.