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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Whitney L Dieter

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MOUNT PLEASANT, SC

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Search this name across graphsid dfx:ria:a9b2b329-6c17-65be-2be4-fb3ec0b4d604

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2009 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: Mar 9, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 9, 2009
First registration: Mar 11, 2009
Dual registered: yes, broker-dealer
Other names: WHITNEY L DIETER|WHITNEY L CLARK
IAPD individual key: 4630422

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	Feb 15, 2022	n/a	yes	MOUNT PLEASANT, SC	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	May 18, 2018	Nov 22, 2021	no	CHARLESTON, SC\|Charleston, SC\|CHARLESTON, SC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 12, 2015	May 22, 2018	no	CHARLESTON, SC	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jul 14, 2011	Oct 9, 2013	no	CHARLESTON, SC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 8, 2009	Jul 29, 2011	no	Charleston, SC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 11, 2009	Apr 3, 2009	no	MOUNT PLEASANT, SC	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
TRUIST ADVISORY SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 22, 2021	Feb 15, 2022	85	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	TRUIST ADVISORY SERVICES, INC.	May 22, 2018	May 18, 2018	-4	Firm change	Wirehouse to ibd
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	WELLS FARGO ADVISORS	Oct 9, 2013	Jan 12, 2015	460	Firm change after gap	Other
MORGAN STANLEY	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Jul 29, 2011	Jul 14, 2011	-15	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Apr 3, 2009	Jun 8, 2009	66	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:283390:SC:2018-05-22	May 22, 2018	May 18, 2018	CHARLESTON, SC	Firm change

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 11, 2009 to Apr 3, 2009factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
May 18, 2018 to Nov 22, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 12, 2015 to May 22, 2018factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 14, 2011 to Oct 9, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 8, 2009 to Jul 29, 2011factForm ADV

Dated events

No dated event names this entity yet.