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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

BRETT I MORITZ

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HUNT VALLEY, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a5b92c00-b879-fb80-84c3-6b6fdebd35a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 26, 1999 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 26, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 26, 1998
First registration: Jan 26, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 3122963

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	May 26, 2017	n/a	yes	HUNT VALLEY, MD	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	May 6, 2005	Dec 15, 2014	no	HUNT VALLEY, MD\|WEEHAWKEN, NJ\|BALTIMORE, MD\|BALTIMORE, MD	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 26, 1999	May 9, 2005	no	HUNT VALLEY, MD	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	Dec 15, 2014	May 26, 2017	893	Firm change after gap	Wirehouse to wirehouse
MORGAN STANLEY DW INC.	UBS FINANCIAL SERVICES INC.	May 9, 2005	May 6, 2005	-3	Firm change	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 26, 2017 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 6, 2005 to Dec 15, 2014factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 26, 1999 to May 9, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5b92c00-b879-fb80-84c3-6b6fdebd35a6
First observed: Jan 26, 1999
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.

BRETT I MORITZ

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HUNT VALLEY, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a5b92c00-b879-fb80-84c3-6b6fdebd35a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

May 26, 2017

n/a

yes

HUNT VALLEY, MD

Current employment

UBS FINANCIAL SERVICES INC.

Wirehouse

May 6, 2005

Dec 15, 2014

HUNT VALLEY, MD|WEEHAWKEN, NJ|BALTIMORE, MD|BALTIMORE, MD

Previous registration

MORGAN STANLEY DW INC.

n/a

Jan 26, 1999

May 9, 2005

HUNT VALLEY, MD

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dec 15, 2014

May 26, 2017

893

Firm change after gap

Wirehouse to wirehouse

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

May 9, 2005

May 6, 2005

-3

Firm change

Other