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.

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 1, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Feb 22, 2022

First registration

Mar 3, 2022

Dual registered

yes, broker-dealer

Other names

JAMES KIWIET

IAPD individual key

7463983

• Occurred

  Sep 18, 2025
  Advisor changed firm

  James Mark Kiwiet left Thrivent Investment Management Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-10-10)

  Form ADVobserved 5 days ago
• Occurred

  Oct 20, 2022
  Advisor changed firm

  James Mark Kiwiet left Equitable Advisors, Llc for Thrivent Investment Management Inc. (registered 2022-10-20)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b4ad64a7-ca7d-ae33-69f3-d6d74ce7ec27

First observed

Mar 3, 2022

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.