DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

David W Waldo

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FARMINGTON, CT | BURLINGTON, MA

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:c8c6a06e-3c12-a0ba-b7bb-bb6eeb4f630a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 8, 2004 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: Feb 28, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Feb 28, 2002
First registration: Dec 8, 2004
Dual registered: yes, broker-dealer
Other names: DAVID WILLIAM WALDO
IAPD individual key: 1785991

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	Apr 12, 2011	n/a	yes	FARMINGTON, CT\|BURLINGTON, MA	Current employment
OHANESIAN / LECOURS, INC.	Former SEC adviser	Oct 29, 2009	Mar 14, 2011	no	WEST HARTFORD, CT\|WEST HARTFORD, CT\|GLASTONBURY, CT\|WEST HARTFORD, CT	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 14, 2008	Feb 9, 2009	no	HARTFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 8, 2006	Apr 6, 2006	no	NEW YORK, NY	Previous registration
ADVEST, INC.	n/a	Dec 8, 2004	Mar 8, 2006	no	HARTFORD, CT	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
OHANESIAN / LECOURS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 14, 2011	Apr 12, 2011	29	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	OHANESIAN / LECOURS, INC.	Feb 9, 2009	Oct 29, 2009	262	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC OF AMERICA INVESTMENT SERVICES, INC.	Apr 6, 2006	Oct 14, 2008	922	Firm change after gap	Other
ADVEST, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 8, 2006	Mar 8, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 8, 2006 to Apr 6, 2006factForm ADV
→ OHANESIAN / LECOURS, INC.Registered adviserregistration: previous registration
Oct 29, 2009 to Mar 14, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 14, 2008 to Feb 9, 2009factForm ADV
→ ADVEST, INC.Registered adviserregistration: previous registration
Dec 8, 2004 to Mar 8, 2006factForm ADV

Dated events

No dated event names this entity yet.