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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JOSEPH M PIRRONE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

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Search this name across graphsid dfx:ria:a5e41e94-5994-7f44-e843-a61ac9e72fab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2000 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 18, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Aug 18, 1997
First registration: Oct 4, 2000
Dual registered: yes, broker-dealer
Other names: JOSEPH MATTHEW PIRRONE
IAPD individual key: 2896120

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 11, 2010	n/a	yes	NEW YORK, NY	Current employment
NOVICK & COMPANY FINANCIAL GROUP, LLC	Former SEC adviser	Sep 30, 2009	Oct 7, 2010	no	NEW CANAAN, CT	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 31, 2006	Sep 30, 2009	no	NEW CANAAN, CT\|MORRISTOWN, NJ\|NEW CANAAN, CT	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 2, 2003	Nov 14, 2006	no	STAMFORD, CT\|STAMFORD, CT	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 4, 2000	Dec 16, 2002	no	DARIEN, CT	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
NOVICK & COMPANY FINANCIAL GROUP, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 7, 2010	Nov 11, 2010	35	Firm change	Other
LPL FINANCIAL LLC	NOVICK & COMPANY FINANCIAL GROUP, LLC	Sep 30, 2009	Sep 30, 2009	0	Firm change	Other
EQUITABLE ADVISORS, LLC	LPL FINANCIAL LLC	Nov 14, 2006	Oct 31, 2006	-14	Firm change	Other
MORGAN STANLEY DW INC.	EQUITABLE ADVISORS, LLC	Dec 16, 2002	Jul 2, 2003	198	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 11, 2010 to presentfactForm ADV
→ NOVICK & COMPANY FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Sep 30, 2009 to Oct 7, 2010factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 31, 2006 to Sep 30, 2009factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 2, 2003 to Nov 14, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 4, 2000 to Dec 16, 2002factForm ADV

Dated events

No dated event names this entity yet.