DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

SEAN JOSEPH GAFFEY

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c5e16255-1013-eb0f-67e3-a945a0c26a00

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2004 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: Apr 2, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 3
Exams: S66|S65
First exam: Apr 2, 2001
First registration: Apr 20, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4284044

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	Oct 23, 2009	n/a	yes	NEW YORK, NY	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 28, 2008	Oct 23, 2009	no	FORT LEE, NJ	Previous registration
KELLEHER FINANCIAL ADVISORS, LLC	Independent wealth	Apr 20, 2004	Oct 28, 2004	no	NEW YORK, NY	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
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
KELLEHER FINANCIAL ADVISORS, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 28, 2004	Apr 28, 2008	1,278	Firm change after gap	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Oct 23, 2009 to presentfactForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 28, 2008 to Oct 23, 2009factForm ADV
→ KELLEHER FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 20, 2004 to Oct 28, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5e16255-1013-eb0f-67e3-a945a0c26a00
First observed: Apr 20, 2004
Last observed: Sep 14, 2026 7 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.

SEAN JOSEPH GAFFEY

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c5e16255-1013-eb0f-67e3-a945a0c26a00

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:32 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Oct 23, 2009

n/a

yes

NEW YORK, NY

Current employment

BANC OF AMERICA INVESTMENT SERVICES, INC.

n/a

Apr 28, 2008

Oct 23, 2009

FORT LEE, NJ

Previous registration

KELLEHER FINANCIAL ADVISORS, LLC

Independent wealth

Apr 20, 2004

Oct 28, 2004

NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 23, 2009

Bulk transfer

Other

KELLEHER FINANCIAL ADVISORS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

Oct 28, 2004

Apr 28, 2008

1,278

Firm change after gap

Other