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Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 11, 2011 | n/a | yes | HOUSTON, TX | Current employment |
| SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | Former SEC adviser | May 6, 2005 | Dec 31, 2010 | no | LEAGUE CITY, TX|CEDAR RAPIDS, IA|LEAGUE CITY, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Dec 31, 2010 | Aug 11, 2011 | 223 | Firm change | Other |