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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

ANTHONY JAY GOLDSTEIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:a0ad2b1e-1d49-8ccd-f136-bc2d257d02e1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 10, 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: Oct 13, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 13, 1992
First registration: Sep 10, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2256298

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	Aug 27, 2013	n/a	yes	LAS VEGAS, NV\|LAS VEGAS, NV	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 15, 2007	Aug 12, 2013	no	LAS VEGAS, NV	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 18, 2007	no	LAS VEGAS, NV	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 10, 2002	Apr 2, 2007	no	LAS VEGAS, NV\|LAS VEGAS, NV	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
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 12, 2013	Aug 27, 2013	15	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Jun 18, 2007	Jun 15, 2007	-3	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Aug 27, 2013 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 15, 2007 to Aug 12, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 18, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 10, 2002 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.