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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

SEAN M GORMAN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STUART, FL

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Search this name across graphsid dfx:ria:a2e9f6a1-8f96-2977-4757-d96872f05fde

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 6, 2004 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: Dec 6, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Dec 6, 2001
First registration: May 6, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4292430

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	Apr 21, 2011	n/a	yes	STUART, FL	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2008	Apr 28, 2011	no	Winnetka, IL	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Sep 27, 2006	Oct 1, 2008	no	WINNETKA, IL\|WILMETTE, IL	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	May 6, 2004	Sep 27, 2006	no	WILMETTE, IL\|WILMETTE, IL\|CHICAGO, IL	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
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 28, 2011	Apr 21, 2011	-7	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 1, 2008	0	Bulk transfer	Other
BANC ONE SECURITIES CORPORATION	J.P. MORGAN SECURITIES INC.	Sep 27, 2006	Sep 27, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Apr 21, 2011 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2008 to Apr 28, 2011factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Sep 27, 2006 to Oct 1, 2008factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 6, 2004 to Sep 27, 2006factForm ADV

Dated events

No dated event names this entity yet.