DFX Intelligence

Data Factory

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

BARRY JOSEPH WILLIAMS

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Orinda, CA | OAKLAND, CA

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:c730283f-9fb5-d31b-fa23-d11d6c192b30

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2001 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: Aug 22, 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: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 22, 2001
First registration: Nov 6, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2922674

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	Jan 19, 2010	n/a	yes	OAKLAND, CA\|Orinda, CA	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Jan 27, 2010	no	SAN MATEO, CA\|REDWOOD, CA\|SAN FRANCISCO, CA\|San Carlos, CA\|SAN MATEO, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Mar 13, 2006	May 29, 2007	no	SAN MATEO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 11, 2005	Mar 1, 2006	no	SAN FRANCISCO, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Apr 21, 2003	Aug 24, 2005	no	SAN FRANCISCO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 6, 2001	Apr 30, 2003	no	SAN FRANCISCO, CA	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
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 27, 2010	Jan 19, 2010	-8	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
WELLS FARGO INVESTMENTS, LLC	CITICORP INVESTMENT SERVICES	Mar 1, 2006	Mar 13, 2006	12	Firm change	Other
CITICORP INVESTMENT SERVICES	WELLS FARGO INVESTMENTS, LLC	Aug 24, 2005	Aug 11, 2005	-13	Firm change	Other
UBS FINANCIAL SERVICES INC.	CITICORP INVESTMENT SERVICES	Apr 30, 2003	Apr 21, 2003	-9	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jan 19, 2010 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Jan 27, 2010factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Mar 13, 2006 to May 29, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 11, 2005 to Mar 1, 2006factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 6, 2001 to Apr 30, 2003factForm ADV

Dated events

No dated event names this entity yet.