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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

James Lawrence Oberheide

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHICAGO, IL

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Search this name across graphsid dfx:ria:b3a49d09-4ca1-08ce-93a9-3130fb0be46a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: Dec 1, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Dec 1, 1993
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 2402924

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	Sep 12, 2024	n/a	yes	CHICAGO, IL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 26, 2024	no	CHICAGO, IL\|Chicago, IL\|Chicago, IL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	CHICAGO, IL	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 16, 2007	Apr 2, 2007	no	CHICAGO, IL	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	Jul 8, 1997	Feb 23, 2007	no	CHICAGO, IL	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	Sep 26, 2024	Sep 12, 2024	-14	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
ALLIANCEBERNSTEIN L.P.	MORGAN STANLEY DW INC.	Feb 23, 2007	Feb 16, 2007	-7	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
149777:7691:IL:2024-09-20	Sep 26, 2024	Sep 12, 2024	CHICAGO, IL	Firm change

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Sep 12, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 26, 2024factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 16, 2007 to Apr 2, 2007factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
Jul 8, 1997 to Feb 23, 2007factForm ADV

Dated events

Occurred
Sep 26, 2024
Advisor changed firm
James Lawrence Oberheide left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-09-12)
Form ADVobserved 5 days ago