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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

CHARU DAYAL

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FRISCO, TX

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Search this name across graphsid dfx:ria:acdade4a-1e30-431a-4efa-e8700a35badb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 6, 2008 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: May 2, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 2, 2008
First registration: May 6, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4567688

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	Jul 23, 2025	n/a	yes	FRISCO, TX	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Sep 21, 2020	Jul 7, 2025	no	Frisco, TX\|FRISCO, TX	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Dec 9, 2011	Oct 7, 2020	no	Dallas, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 3, 2012	no	Dallas, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 6, 2008	Jun 1, 2009	no	DALLAS, TX\|PLANO, TX	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
RBC CAPITAL MARKETS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 7, 2025	Jul 23, 2025	16	Firm change	Ibd to wirehouse
ROBERT W. BAIRD & CO. INCORPORATED	RBC CAPITAL MARKETS, LLC	Oct 7, 2020	Sep 21, 2020	-16	Firm change	RIA to ibd
MORGAN STANLEY	ROBERT W. BAIRD & CO. INCORPORATED	Jan 3, 2012	Dec 9, 2011	-25	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jul 23, 2025 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Sep 21, 2020 to Jul 7, 2025factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Dec 9, 2011 to Oct 7, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 3, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 6, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Jul 7, 2025
Advisor changed firm
Charu Dayal left Rbc Capital Markets, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-07-23)
Form ADVobserved 3 days ago