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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

TONY WEI WANG

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:a313f361-0725-d97d-7a3d-1eba54efebe2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 23, 2003 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: Aug 3, 2002earliest 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: 2
Exams: S66|S63
First exam: Aug 3, 2002
First registration: Sep 23, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4531200

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	Nov 9, 2010	n/a	yes	NEWPORT BEACH, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 3, 2010	no	Laguna Niguel, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 10, 2006	Jun 1, 2009	no	LAGUNA NIGUEL, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 23, 2003	Oct 11, 2006	no	LAGUNA WOODS, CA\|LAGUNA WOODS, CA	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 3, 2010	Nov 9, 2010	-24	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Oct 11, 2006	Oct 10, 2006	-1	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 9, 2010 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 3, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 10, 2006 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 23, 2003 to Oct 11, 2006factForm ADV

Dated events

No dated event names this entity yet.