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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

William JOSEPH Scott

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WASHINGTON, DC | BETHESDA, MD | Beaufort, SC

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Search this name across graphsid dfx:ria:bd15a342-1592-ff41-0c01-6e248cfa97e6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 25, 2001 to Sep 15, 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: Oct 15, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Oct 15, 1992
First registration: Oct 25, 2001
Dual registered: yes, broker-dealer
Other names: BILL SCOTT
IAPD individual key: 2277256

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	Jun 12, 2015	n/a	yes	WASHINGTON, DC\|Beaufort, SC\|BETHESDA, MD	Current employment
BARCLAYS CAPITAL INC.	Former SEC adviser	Jan 15, 2010	Jul 10, 2015	no	WASHINGTON, DC	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Mar 20, 2009	Jan 20, 2010	no	WASHINGTON, DC	Previous registration
STANFORD GROUP COMPANY	n/a	Sep 30, 2008	Mar 10, 2009	no	MCLEAN, VA	Previous registration
FBR INVESTMENT MANAGEMENT, INC.	n/a	Sep 14, 2004	Oct 24, 2008	no	ARLINGTON , VA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 25, 2001	Aug 27, 2003	no	WASHINGTON, DC	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
BARCLAYS CAPITAL INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 10, 2015	Jun 12, 2015	-28	Firm change	Other
OPPENHEIMER & CO. INC.	BARCLAYS CAPITAL INC.	Jan 20, 2010	Jan 15, 2010	-5	Firm change	Other
STANFORD GROUP COMPANY	OPPENHEIMER & CO. INC.	Mar 10, 2009	Mar 20, 2009	10	Firm change	Other
FBR INVESTMENT MANAGEMENT, INC.	STANFORD GROUP COMPANY	Oct 24, 2008	Sep 30, 2008	-24	Firm change	Other
MORGAN STANLEY & CO. LLC	FBR INVESTMENT MANAGEMENT, INC.	Aug 27, 2003	Sep 14, 2004	384	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
19714:7691:DC:2015-07-10	Jul 10, 2015	Jun 12, 2015	WASHINGTON, DC	Firm change

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 12, 2015 to presentfactForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jan 15, 2010 to Jul 10, 2015factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Mar 20, 2009 to Jan 20, 2010factForm ADV
→ STANFORD GROUP COMPANYRegistered adviserregistration: previous registration
Sep 30, 2008 to Mar 10, 2009factForm ADV
→ FBR INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 14, 2004 to Oct 24, 2008factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 25, 2001 to Aug 27, 2003factForm ADV

Dated events

No dated event names this entity yet.